organization · Reporting owner
SV Life Sciences Fund VI Strategic Partners, L.P.
Disclosed activity across 3 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| MISONIX INCMSON · Entity 132701 | 10% owner | September 27, 2019 | October 07, 2019 |
| X4 Pharmaceuticals, IncASNS · Entity 5638 | 10% owner | November 20, 2017 | November 20, 2017 |
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.
MISONIX INC
Report date September 27, 2019 · Filed October 07, 2019
Jointly reported with SVLSF VI, LLC, SV Life Sciences Fund VI, L.P., SV Life Sciences Fund VI (GP), L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy: SV Life Sciences Fund VI, L.P. | 1,639,826 |
Reported balance
Holding disclosure · report date 2019-09-27 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,639,826 F1: Acquired pursuant to the Agreement and Plan of Merger between Misonix, Inc., New Misonix, Inc., Motor Reincorp. Sub One, Inc., Surge Sub Two, LLC, Solsys Medical, LLC ("Solsys"), and Greg Madden solely in his capacity as representative, in exchange for 27,116,608 Series E Preferred Units of Solsys. The Merger Agreement placed a value on the issuer's common stock of $18.5479, which reflects the 10-day VWAP for the issuer's common stock as of three business days prior to the effective date of the merger. F2: These shares are owned directly by SV Life Sciences Fund VI, L.P. ("SVLS VI LP"). 199,617 of the shares issued to SVLS VI LP are being held in escrow and are subject to forfeiture during the 15 month-period following the merger to satisfy any post-closing purchase price adjustments and indemnification claims. SV Life Sciences Fund VI (GP), L.P. ("SVLS VI GP"), the general partner of SVLS VI LP, may be deemed to share voting and dispositive power over the shares held by SVLS VI LP. SVLS VI GP disclaims beneficial ownership of shares held by SVLS VI LP except to the extent of any pecuniary interests therein. F4: SVLS VI LP and Strategic Partners (each a "Fund," or collectively the "Funds") may be deemed to beneficially own the shares held by each other Fund because of certain contractual relationships among the Funds and their affiliates. The Funds disclaim beneficial ownership of shares held by any other Fund except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy: SV Life Sciences Fund VI Strategic Partners, L.P. | 56,143 |
Reported balance
Holding disclosure · report date 2019-09-27 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 56,143 F1: Acquired pursuant to the Agreement and Plan of Merger between Misonix, Inc., New Misonix, Inc., Motor Reincorp. Sub One, Inc., Surge Sub Two, LLC, Solsys Medical, LLC ("Solsys"), and Greg Madden solely in his capacity as representative, in exchange for 27,116,608 Series E Preferred Units of Solsys. The Merger Agreement placed a value on the issuer's common stock of $18.5479, which reflects the 10-day VWAP for the issuer's common stock as of three business days prior to the effective date of the merger. F3: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("Strategic Partners"). 6,834 of the shares issued to Strategic Partners are being held in escrow and are subject to forfeiture during the 15 month-period following the merger to satisfy any post-closing purchase price adjustments and indemnification claims. SVLS VI GP, the general partner of Strategic Partners, may be deemed to share voting and dispositive power over the shares held by Strategic Partners. SVLS VI GP disclaims beneficial ownership of shares held by Strategic Partners except to the extent of any pecuniary interests therein. F4: SVLS VI LP and Strategic Partners (each a "Fund," or collectively the "Funds") may be deemed to beneficially own the shares held by each other Fund because of certain contractual relationships among the Funds and their affiliates. The Funds disclaim beneficial ownership of shares held by any other Fund except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Acquired pursuant to the Agreement and Plan of Merger between Misonix, Inc., New Misonix, Inc., Motor Reincorp. Sub One, Inc., Surge Sub Two, LLC, Solsys Medical, LLC ("Solsys"), and Greg Madden solely in his capacity as representative, in exchange for 27,116,608 Series E Preferred Units of Solsys. The Merger Agreement placed a value on the issuer's common stock of $18.5479, which reflects the 10-day VWAP for the issuer's common stock as of three business days prior to the effective date of the merger.
F2: These shares are owned directly by SV Life Sciences Fund VI, L.P. ("SVLS VI LP"). 199,617 of the shares issued to SVLS VI LP are being held in escrow and are subject to forfeiture during the 15 month-period following the merger to satisfy any post-closing purchase price adjustments and indemnification claims. SV Life Sciences Fund VI (GP), L.P. ("SVLS VI GP"), the general partner of SVLS VI LP, may be deemed to share voting and dispositive power over the shares held by SVLS VI LP. SVLS VI GP disclaims beneficial ownership of shares held by SVLS VI LP except to the extent of any pecuniary interests therein.
F3: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("Strategic Partners"). 6,834 of the shares issued to Strategic Partners are being held in escrow and are subject to forfeiture during the 15 month-period following the merger to satisfy any post-closing purchase price adjustments and indemnification claims. SVLS VI GP, the general partner of Strategic Partners, may be deemed to share voting and dispositive power over the shares held by Strategic Partners. SVLS VI GP disclaims beneficial ownership of shares held by Strategic Partners except to the extent of any pecuniary interests therein.
F4: SVLS VI LP and Strategic Partners (each a "Fund," or collectively the "Funds") may be deemed to beneficially own the shares held by each other Fund because of certain contractual relationships among the Funds and their affiliates. The Funds disclaim beneficial ownership of shares held by any other Fund except to the extent of any pecuniary interest therein.
X4 Pharmaceuticals, Inc
Report date November 20, 2017 · Filed November 20, 2017
Jointly reported with SVLSF V, LLC, SV Life Sciences Fund VI, L.P., SV Life Sciences Fund V Strategic Partners, L.P., SV LIFE SCIENCES FUND V LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 19,128 |
Reported balance
After 2017-11-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-11-20 · Conversion · Acquired 19,128 · Balance 19,128 F1: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 19,532 |
Reported balance
After 2017-11-20 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2017-11-20 · Conversion · Acquired 404 · Balance 19,532 F1: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 266,542 |
Reported balance
After 2017-11-20 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2017-11-20 · Conversion · Acquired 247,010 · Balance 266,542 F2: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 271,761 |
Reported balance
After 2017-11-20 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2017-11-20 · Conversion · Acquired 5,219 · Balance 271,761 F2: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 593,863 |
Reported balance
After 2017-11-20 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2017-11-20 · Conversion · Acquired 322,102 · Balance 593,863 F3: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 600,669 |
Reported balance
After 2017-11-20 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2017-11-20 · Conversion · Acquired 6,806 · Balance 600,669 F3: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 712,624 |
Reported balance
After 2017-11-20 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2017-11-20 · Conversion · Acquired 111,955 · Balance 712,624 F4: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 714,989 |
Reported balance
After 2017-11-20 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2017-11-20 · Conversion · Acquired 2,365 · Balance 714,989 F4: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 917,904 |
Reported balance
After 2017-11-20 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2017-11-20 · Conversion · Acquired 202,915 · Balance 917,904 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 922,192 |
Reported balance
After 2017-11-20 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2017-11-20 · Conversion · Acquired 4,288 · Balance 922,192 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 1,354,172 |
Reported balance
After 2017-11-20 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2017-11-20 · Conversion · Acquired 431,980 · Balance 1,354,172 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F8: These shares are owned directly by SV Life Sciences Fund VI, L.P. ("SVLS VI LP"). SV Life Sciences Fund VI (GP), LP ("SVLS VI GP") is the general partner of SVLS VI LP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI LP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 1,368,961 |
Reported balance
After 2017-11-20 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2017-11-20 · Conversion · Acquired 14,789 · Balance 1,368,961 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F9: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("SVLS VI SPP"). SVLS VI GP is the general partner of SVLS VI SPP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn, and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI SPP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 1,852,409 |
Reported balance
After 2017-11-20 transaction · row 13
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 13 · 2017-11-20 · Purchase · Acquired 483,448 · Balance 1,852,409 F8: These shares are owned directly by SV Life Sciences Fund VI, L.P. ("SVLS VI LP"). SV Life Sciences Fund VI (GP), LP ("SVLS VI GP") is the general partner of SVLS VI LP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI LP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 1,868,961 |
Reported balance
After 2017-11-20 transaction · row 14
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 14 · 2017-11-20 · Purchase · Acquired 16,552 · Balance 1,868,961 F9: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("SVLS VI SPP"). SVLS VI GP is the general partner of SVLS VI SPP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn, and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI SPP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Series A-1 Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-20 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2017-11-20 · Conversion · Disposed 65,287 · Balance 0 F1: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Series A-1 Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-20 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2017-11-20 · Conversion · Disposed 1,380 · Balance 0 F1: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-20 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2017-11-20 · Conversion · Disposed 690,259 · Balance 0 F2: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-20 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2017-11-20 · Conversion · Disposed 14,587 · Balance 0 F2: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-20 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2017-11-20 · Conversion · Disposed 721,402 · Balance 0 F3: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-20 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2017-11-20 · Conversion · Disposed 15,246 · Balance 0 F3: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-20 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2017-11-20 · Conversion · Disposed 224,665 · Balance 0 F4: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-20 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2017-11-20 · Conversion · Disposed 4,747 · Balance 0 F4: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-20 transaction · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · 2017-11-20 · Conversion · Disposed 692,552 · Balance 0 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-20 transaction · row 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · 2017-11-20 · Conversion · Disposed 14,635 · Balance 0 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-20 transaction · row 25
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 25 · 2017-11-20 · Conversion · Disposed 1,474,348 · Balance 0 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F8: These shares are owned directly by SV Life Sciences Fund VI, L.P. ("SVLS VI LP"). SV Life Sciences Fund VI (GP), LP ("SVLS VI GP") is the general partner of SVLS VI LP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI LP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-11-20 transaction · row 26
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 26 · 2017-11-20 · Conversion · Disposed 50,477 · Balance 0 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F9: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("SVLS VI SPP"). SVLS VI GP is the general partner of SVLS VI SPP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn, and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI SPP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
F2: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
F3: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
F4: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
F8: These shares are owned directly by SV Life Sciences Fund VI, L.P. ("SVLS VI LP"). SV Life Sciences Fund VI (GP), LP ("SVLS VI GP") is the general partner of SVLS VI LP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI LP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
F9: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("SVLS VI SPP"). SVLS VI GP is the general partner of SVLS VI SPP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn, and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI SPP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Tectonic Therapeutic, Inc.
Report date January 16, 2019 · Filed January 18, 2019
Jointly reported with SVLSF VI, LLC, SV Life Sciences Fund VI, L.P., SV Life Sciences Fund VI (GP), L.P.
Section 16 reporting ended · disclosed 2019-01-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,866,791 |
Reported balance
After 2019-01-16 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-01-16 · Other · Disposed 778,663 · Balance 1,866,791 F1: SV Life Sciences Fund VI, L.P. ("SV Life LP") distributed the shares to its limited partners on a pro rata basis. F2: The shares are held directly by SV Life LP. SV Life Sciences Fund VI (GP), L.P. ("SV Fund VI GP") is the general partner of SV Life LP. The general partner of SV Fund VI GP is SVLSF VI, LLC. Each of SV Fund VI GP and SVLSF VI, LLC disclaims beneficial ownership of the shares owned directly by SV Life LP, except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 63,913 |
Reported balance
After 2019-01-16 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-01-16 · Other · Disposed 26,660 · Balance 63,913 F3: SV Life Sciences Fund VI Strategic Partners, L.P. ("SV Life SP LP") distributed the shares to its limited partners on a pro rata basis. F4: The shares are held directly by SV Life SP LP. SV Fund VI GP is the general partner of SV Life SP LP. The general partner of SV Fund VI GP is SVLSF VI, LLC. Each of SV Fund VI GP, and SVLSF VI, LLC disclaims beneficial ownership of the shares owned directly by SV Life SP LP, except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: SV Life Sciences Fund VI, L.P. ("SV Life LP") distributed the shares to its limited partners on a pro rata basis.
F2: The shares are held directly by SV Life LP. SV Life Sciences Fund VI (GP), L.P. ("SV Fund VI GP") is the general partner of SV Life LP. The general partner of SV Fund VI GP is SVLSF VI, LLC. Each of SV Fund VI GP and SVLSF VI, LLC disclaims beneficial ownership of the shares owned directly by SV Life LP, except to the extent of any pecuniary interest therein.
F3: SV Life Sciences Fund VI Strategic Partners, L.P. ("SV Life SP LP") distributed the shares to its limited partners on a pro rata basis.
F4: The shares are held directly by SV Life SP LP. SV Fund VI GP is the general partner of SV Life SP LP. The general partner of SV Fund VI GP is SVLSF VI, LLC. Each of SV Fund VI GP, and SVLSF VI, LLC disclaims beneficial ownership of the shares owned directly by SV Life SP LP, except to the extent of any pecuniary interest therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 16, 2019 Filed Jan 18, 2019 17:00 UTC | Tectonic Therapeutic, Inc. AVRO · Entity 5328 | OtherCommon Stock | 26,660 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-001495 · doc4.xml · nonDerivative · entry 2 SVLSF VI, LLC · CIK 0001717728 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI (GP), L.P. · CIK 0001717730 · 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: 63,913 F3 · kind: SV Life Sciences Fund VI Strategic Partners, L.P. ("SV Life SP LP") distributed the shares to its limited partners on a pro rata basis. F4 · ownership.nature: The shares are held directly by SV Life SP LP. SV Fund VI GP is the general partner of SV Life SP LP. The general partner of SV Fund VI GP is SVLSF VI, LLC. Each of SV Fund VI GP, and SVLSF VI, LLC disclaims beneficial ownership of the shares owned directly by SV Life SP LP, except to the extent of any pecuniary interest therein. Read SEC document |
| January 16, 2019 Filed Jan 18, 2019 17:00 UTC | Tectonic Therapeutic, Inc. AVRO · Entity 5328 | OtherCommon Stock | 778,663 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-001495 · doc4.xml · nonDerivative · entry 1 SVLSF VI, LLC · CIK 0001717728 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI (GP), L.P. · CIK 0001717730 · 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: 1,866,791 F1 · kind: SV Life Sciences Fund VI, L.P. ("SV Life LP") distributed the shares to its limited partners on a pro rata basis. F2 · ownership.nature: The shares are held directly by SV Life LP. SV Life Sciences Fund VI (GP), L.P. ("SV Fund VI GP") is the general partner of SV Life LP. The general partner of SV Fund VI GP is SVLSF VI, LLC. Each of SV Fund VI GP and SVLSF VI, LLC disclaims beneficial ownership of the shares owned directly by SV Life LP, except to the extent of any pecuniary interest therein. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 18:16 UTC | Tectonic Therapeutic, Inc. AVRO · Entity 5328 | ConversionSeries B Preferred Stock · Derivative | 61,908 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-017965 · doc4.xml · derivative · entry 8 SVLSF VI, LLC · CIK 0001717728 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI (GP), L.P. · CIK 0001717730 · 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 · 14,982 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Represents the total number of shares of Common Stock received by SV Life Sciences Fund VI Strategic Partners, L.P. ("SV Life SP LP") upon the conversion of the Issuer's Series A Preferred Stock in connection with the closing of the Issuer's initial public offering. F7 · derivative.exercise_date: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 4.132-for-1 basis on June 25, 2018 and had no expiration date. F7 · derivative.expiration_date: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 4.132-for-1 basis on June 25, 2018 and had no expiration date. F4 · ownership.nature: The shares are held directly by SV Life SP LP. SV Health Investors, LLC is the Manager of SV Life SP LP. SV Fund VI GP is the general partner of SV Life SP LP. The general partner of SV Fund VI GP is SVLSF VI, LLC. The members of the investment committee of SVLSF VI, LLC are Kate Bingham, Thomas Flynn, James Garvey, Eugene D. Hill, III, Paul LaViolette, and Michael Ross. Each of SV Fund VI GP, SVLSF VI, LLC and the SVLSF VI, LLC investment committee disclaims beneficial ownership of the shares owned directly by SV Life SP LP, except to the extent of any pecuniary interest therein. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 18:16 UTC | Tectonic Therapeutic, Inc. AVRO · Entity 5328 | ConversionSeries B Preferred Stock · Derivative | 1,808,211 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-017965 · doc4.xml · derivative · entry 7 SVLSF VI, LLC · CIK 0001717728 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI (GP), L.P. · CIK 0001717730 · 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 · 437,611 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: Represents the total number of shares of Common Stock received by SV Life Sciences Fund VI Strategic Partners, L.P. ("SV Life SP LP") upon the conversion of the Issuer's Series A Preferred Stock in connection with the closing of the Issuer's initial public offering. F7 · derivative.exercise_date: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 4.132-for-1 basis on June 25, 2018 and had no expiration date. F7 · derivative.expiration_date: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 4.132-for-1 basis on June 25, 2018 and had no expiration date. F2 · ownership.nature: The shares are held directly by SV Life LP. SV Health Investors, LLC is the Manager of SV Life LP. SV Life Sciences Fund VI (GP), L.P., ("SV Fund VI GP") is the general partner of SV Life LP. The general partner of SV Fund VI GP is SVLSF VI, LLC. The members of the investment committee of SVLSF VI, LLC are Kate Bingham, Thomas Flynn, James Garvey, Eugene D. Hill, III, Paul LaViolette, and Michael Ross. Each of SV Fund VI GP, SVLSF VI, LLC and the SVLSF VI, LLC investment committee disclaims beneficial ownership of the shares owned directly by SV Life LP, except to the extent of any pecuniary interest therein. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 18:16 UTC | Tectonic Therapeutic, Inc. AVRO · Entity 5328 | ConversionSeries A Preferred Stock · Derivative | 312,341 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-017965 · doc4.xml · derivative · entry 6 SVLSF VI, LLC · CIK 0001717728 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI (GP), L.P. · CIK 0001717730 · 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 · 75,591 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: Represents the total number of shares of Common Stock received by SV Life Sciences Fund VI Strategic Partners, L.P. ("SV Life SP LP") upon the conversion of the Issuer's Series A Preferred Stock in connection with the closing of the Issuer's initial public offering. F7 · derivative.exercise_date: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 4.132-for-1 basis on June 25, 2018 and had no expiration date. F7 · derivative.expiration_date: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 4.132-for-1 basis on June 25, 2018 and had no expiration date. F4 · ownership.nature: The shares are held directly by SV Life SP LP. SV Health Investors, LLC is the Manager of SV Life SP LP. SV Fund VI GP is the general partner of SV Life SP LP. The general partner of SV Fund VI GP is SVLSF VI, LLC. The members of the investment committee of SVLSF VI, LLC are Kate Bingham, Thomas Flynn, James Garvey, Eugene D. Hill, III, Paul LaViolette, and Michael Ross. Each of SV Fund VI GP, SVLSF VI, LLC and the SVLSF VI, LLC investment committee disclaims beneficial ownership of the shares owned directly by SV Life SP LP, except to the extent of any pecuniary interest therein. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 18:16 UTC | Tectonic Therapeutic, Inc. AVRO · Entity 5328 | ConversionSeries A Preferred Stock · Derivative | 9,122,809 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-017965 · doc4.xml · derivative · entry 5 SVLSF VI, LLC · CIK 0001717728 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI (GP), L.P. · CIK 0001717730 · 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 · 2,207,843 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: Represents the total number of shares of Common Stock received by SV Life Sciences Fund VI Strategic Partners, L.P. ("SV Life SP LP") upon the conversion of the Issuer's Series A Preferred Stock in connection with the closing of the Issuer's initial public offering. F7 · derivative.exercise_date: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 4.132-for-1 basis on June 25, 2018 and had no expiration date. F7 · derivative.expiration_date: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 4.132-for-1 basis on June 25, 2018 and had no expiration date. F2 · ownership.nature: The shares are held directly by SV Life LP. SV Health Investors, LLC is the Manager of SV Life LP. SV Life Sciences Fund VI (GP), L.P., ("SV Fund VI GP") is the general partner of SV Life LP. The general partner of SV Fund VI GP is SVLSF VI, LLC. The members of the investment committee of SVLSF VI, LLC are Kate Bingham, Thomas Flynn, James Garvey, Eugene D. Hill, III, Paul LaViolette, and Michael Ross. Each of SV Fund VI GP, SVLSF VI, LLC and the SVLSF VI, LLC investment committee disclaims beneficial ownership of the shares owned directly by SV Life LP, except to the extent of any pecuniary interest therein. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 18:16 UTC | Tectonic Therapeutic, Inc. AVRO · Entity 5328 | ConversionCommon Stock | 14,982 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-017965 · doc4.xml · nonDerivative · entry 4 SVLSF VI, LLC · CIK 0001717728 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI (GP), L.P. · CIK 0001717730 · 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: 90,573 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: Represents the total number of shares of Common Stock received by SV Life SP LP upon the conversion of the Issuer's Series B Preferred Stock in connection with the closing of the Issuer's initial public offering. F4 · ownership.nature: The shares are held directly by SV Life SP LP. SV Health Investors, LLC is the Manager of SV Life SP LP. SV Fund VI GP is the general partner of SV Life SP LP. The general partner of SV Fund VI GP is SVLSF VI, LLC. The members of the investment committee of SVLSF VI, LLC are Kate Bingham, Thomas Flynn, James Garvey, Eugene D. Hill, III, Paul LaViolette, and Michael Ross. Each of SV Fund VI GP, SVLSF VI, LLC and the SVLSF VI, LLC investment committee disclaims beneficial ownership of the shares owned directly by SV Life SP LP, except to the extent of any pecuniary interest therein. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 18:16 UTC | Tectonic Therapeutic, Inc. AVRO · Entity 5328 | ConversionCommon Stock | 437,611 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-017965 · doc4.xml · nonDerivative · entry 3 SVLSF VI, LLC · CIK 0001717728 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI (GP), L.P. · CIK 0001717730 · 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: 2,645,454 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: Represents the total number of shares of Common Stock received by SV Life LP upon the conversion of the Issuer's Series B Preferred Stock in connection with the closing of the Issuer's initial public offering. F2 · ownership.nature: The shares are held directly by SV Life LP. SV Health Investors, LLC is the Manager of SV Life LP. SV Life Sciences Fund VI (GP), L.P., ("SV Fund VI GP") is the general partner of SV Life LP. The general partner of SV Fund VI GP is SVLSF VI, LLC. The members of the investment committee of SVLSF VI, LLC are Kate Bingham, Thomas Flynn, James Garvey, Eugene D. Hill, III, Paul LaViolette, and Michael Ross. Each of SV Fund VI GP, SVLSF VI, LLC and the SVLSF VI, LLC investment committee disclaims beneficial ownership of the shares owned directly by SV Life LP, except to the extent of any pecuniary interest therein. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 18:16 UTC | Tectonic Therapeutic, Inc. AVRO · Entity 5328 | ConversionCommon Stock | 75,591 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-017965 · doc4.xml · nonDerivative · entry 2 SVLSF VI, LLC · CIK 0001717728 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI (GP), L.P. · CIK 0001717730 · 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: 75,591 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: Represents the total number of shares of Common Stock received by SV Life Sciences Fund VI Strategic Partners, L.P. ("SV Life SP LP") upon the conversion of the Issuer's Series A Preferred Stock in connection with the closing of the Issuer's initial public offering. F4 · ownership.nature: The shares are held directly by SV Life SP LP. SV Health Investors, LLC is the Manager of SV Life SP LP. SV Fund VI GP is the general partner of SV Life SP LP. The general partner of SV Fund VI GP is SVLSF VI, LLC. The members of the investment committee of SVLSF VI, LLC are Kate Bingham, Thomas Flynn, James Garvey, Eugene D. Hill, III, Paul LaViolette, and Michael Ross. Each of SV Fund VI GP, SVLSF VI, LLC and the SVLSF VI, LLC investment committee disclaims beneficial ownership of the shares owned directly by SV Life SP LP, except to the extent of any pecuniary interest therein. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 18:16 UTC | Tectonic Therapeutic, Inc. AVRO · Entity 5328 | ConversionCommon Stock | 2,207,843 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-017965 · doc4.xml · nonDerivative · entry 1 SVLSF VI, LLC · CIK 0001717728 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI (GP), L.P. · CIK 0001717730 · 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: 2,207,843 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents the total number of shares of Common Stock received by SV Life Sciences Fund VI, L.P. ("SV Life LP") upon the conversion of the Issuer's Series A Preferred Stock in connection with the closing of the Issuer's initial public offering. F2 · ownership.nature: The shares are held directly by SV Life LP. SV Health Investors, LLC is the Manager of SV Life LP. SV Life Sciences Fund VI (GP), L.P., ("SV Fund VI GP") is the general partner of SV Life LP. The general partner of SV Fund VI GP is SVLSF VI, LLC. The members of the investment committee of SVLSF VI, LLC are Kate Bingham, Thomas Flynn, James Garvey, Eugene D. Hill, III, Paul LaViolette, and Michael Ross. Each of SV Fund VI GP, SVLSF VI, LLC and the SVLSF VI, LLC investment committee disclaims beneficial ownership of the shares owned directly by SV Life LP, except to the extent of any pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries D Convertible Preferred Stock · Derivative | 50,477 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · derivative · entry 26 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,789 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: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F9 · ownership.direct: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("SVLS VI SPP"). SVLS VI GP is the general partner of SVLS VI SPP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn, and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI SPP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries D Convertible Preferred Stock · Derivative | 1,474,348 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · derivative · entry 25 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 431,980 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: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F8 · ownership.direct: These shares are owned directly by SV Life Sciences Fund VI, L.P. ("SVLS VI LP"). SV Life Sciences Fund VI (GP), LP ("SVLS VI GP") is the general partner of SVLS VI LP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI LP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries D Convertible Preferred Stock · Derivative | 14,635 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · derivative · entry 24 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,288 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: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries D Convertible Preferred Stock · Derivative | 692,552 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · derivative · entry 23 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 202,915 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: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries C Convertible Preferred Stock · Derivative | 4,747 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · derivative · entry 22 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,365 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: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F4 · derivative.exercise_date: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F4 · derivative.expiration_date: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries C Convertible Preferred Stock · Derivative | 224,665 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · derivative · entry 21 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 111,955 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: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F4 · derivative.exercise_date: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F4 · derivative.expiration_date: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries B Convertible Preferred Stock · Derivative | 15,246 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · derivative · entry 20 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,806 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 Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.exercise_date: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.expiration_date: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries B Convertible Preferred Stock · Derivative | 721,402 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · derivative · entry 19 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 322,102 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 Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.exercise_date: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.expiration_date: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries A-2 Convertible Preferred Stock · Derivative | 14,587 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · derivative · entry 18 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,219 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 Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.exercise_date: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.expiration_date: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries A-2 Convertible Preferred Stock · Derivative | 690,259 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · derivative · entry 17 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 247,010 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 Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.exercise_date: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.expiration_date: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries A-1 Convertible Preferred Stock · Derivative | 1,380 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · derivative · entry 16 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 404 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries A-1 Convertible Preferred Stock · Derivative | 65,287 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · derivative · entry 15 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,128 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | PurchaseCommon Stock | 16,552 | $10.00 | $165,520.00 |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · nonDerivative · entry 14 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,868,961 F9 · ownership.direct: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("SVLS VI SPP"). SVLS VI GP is the general partner of SVLS VI SPP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn, and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI SPP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | PurchaseCommon Stock | 483,448 | $10.00 | $4,834,480.00 |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · nonDerivative · entry 13 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,852,409 F8 · ownership.direct: These shares are owned directly by SV Life Sciences Fund VI, L.P. ("SVLS VI LP"). SV Life Sciences Fund VI (GP), LP ("SVLS VI GP") is the general partner of SVLS VI LP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI LP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionCommon Stock | 14,789 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · nonDerivative · entry 12 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,368,961 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: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F9 · ownership.direct: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("SVLS VI SPP"). SVLS VI GP is the general partner of SVLS VI SPP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn, and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI SPP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionCommon Stock | 431,980 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · nonDerivative · entry 11 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,354,172 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: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F8 · ownership.direct: These shares are owned directly by SV Life Sciences Fund VI, L.P. ("SVLS VI LP"). SV Life Sciences Fund VI (GP), LP ("SVLS VI GP") is the general partner of SVLS VI LP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI LP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionCommon Stock | 4,288 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · nonDerivative · entry 10 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 922,192 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: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionCommon Stock | 202,915 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · nonDerivative · entry 9 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 917,904 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: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionCommon Stock | 2,365 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · nonDerivative · entry 8 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 714,989 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: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionCommon Stock | 111,955 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · nonDerivative · entry 7 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 712,624 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: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionCommon Stock | 6,806 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · nonDerivative · entry 6 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 600,669 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: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionCommon Stock | 322,102 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · nonDerivative · entry 5 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 593,863 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: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionCommon Stock | 5,219 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · nonDerivative · entry 4 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,761 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 · price: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionCommon Stock | 247,010 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · nonDerivative · entry 3 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 266,542 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 · price: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionCommon Stock | 404 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · nonDerivative · entry 2 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,532 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:37 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionCommon Stock | 19,128 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-027009 · doc4.xml · nonDerivative · entry 1 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,128 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.