Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| IMMUNIC, INC.IMUX · Entity 6306 | 10% owner | April 12, 2019 | April 22, 2019 |
| Replimune Group, Inc.REPL · Entity 4707 | 10% owner | April 01, 2019 | April 03, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
IMMUNIC, INC.
Report date April 12, 2019 · Filed April 22, 2019
Jointly reported with Global Life Bioventure V Sarl, Omega Fund V, L.P., Omega Fund V GP, L.P., Omega Fund V GP Manager, Ltd., Stampacchia Otello, Nessi Claudio, Paster Anne-Mari
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,371,494 |
Reported balance
Holding disclosure · report date 2019-04-12 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,371,494 F1: On April 12, 2019, pursuant to an Exchange Agreement, dated as of January 6, 2019, between the Issuer (then known as Vital Therapies, Inc.), Immunic AG ("Immunic"), and the shareholders of Immunic party thereto (the "Exchange Agreement"), the holders of Immunic ordinary shares exchanged all of their outstanding shares for shares of Issuer common stock, resulting in Immunic becoming a wholly-owned subsidiary of the Issuer (the "Transaction"). Immediately following the Transaction, the Issuer changed its name to "Immunic, Inc." In connection with the Transaction, the Reporting Person received shares of common stock of the Issuer. F2: The reported securities are held directly by Global Life Bioventure V S.a r.l. ("Global Life"). The reported securities may be deemed to be beneficially owned by each of Omega Fund V, L.P. ("Omega V"), the sole owner of Global Life, Omega Fund V GP, L.P. ("Omega V GP"), as the general partner of Omega V, and Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), as the general partner of Omega V GP. Otello Stampacchia, Richard Lim, Anne-Mari Paster and Claudio Nessi (the "Omega Directors") are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of Omega V GP, Omega Fund V GP Manager and the Omega Directors disclaims beneficial ownership of the securities reported herein, except to the extent of its or their pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 12, 2019, pursuant to an Exchange Agreement, dated as of January 6, 2019, between the Issuer (then known as Vital Therapies, Inc.), Immunic AG ("Immunic"), and the shareholders of Immunic party thereto (the "Exchange Agreement"), the holders of Immunic ordinary shares exchanged all of their outstanding shares for shares of Issuer common stock, resulting in Immunic becoming a wholly-owned subsidiary of the Issuer (the "Transaction"). Immediately following the Transaction, the Issuer changed its name to "Immunic, Inc." In connection with the Transaction, the Reporting Person received shares of common stock of the Issuer.
F2: The reported securities are held directly by Global Life Bioventure V S.a r.l. ("Global Life"). The reported securities may be deemed to be beneficially owned by each of Omega Fund V, L.P. ("Omega V"), the sole owner of Global Life, Omega Fund V GP, L.P. ("Omega V GP"), as the general partner of Omega V, and Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), as the general partner of Omega V GP. Otello Stampacchia, Richard Lim, Anne-Mari Paster and Claudio Nessi (the "Omega Directors") are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of Omega V GP, Omega Fund V GP Manager and the Omega Directors disclaims beneficial ownership of the securities reported herein, except to the extent of its or their pecuniary interest therein, if any.
Replimune Group, Inc.
Report date April 01, 2019 · Filed April 03, 2019
Jointly reported with Omega Fund IV, L.P., Omega Fund IV GP, L.P., Omega Fund IV G.P. Manager, Ltd., Stampacchia Otello, Paster Anne-Mari
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.50 | Direct | 13,500 |
Reported balance
After 2019-04-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-04-01 · Grant · Acquired 13,500 · Balance 13,500 F1: The Common Stock Options (the "Options") were granted to Otello Stampacchia in his capacity as a director of the issuer on April 1, 2019 (the "Grant Date"), with the Options vesting on the first anniversary of the Grant Date. The Options expire on the tenth anniversary of the Grant Date. The Options are held directly by Mr. Stampacchia. |
Filing footnotes · ownership attribution and instrument terms
F1: The Common Stock Options (the "Options") were granted to Otello Stampacchia in his capacity as a director of the issuer on April 1, 2019 (the "Grant Date"), with the Options vesting on the first anniversary of the Grant Date. The Options expire on the tenth anniversary of the Grant Date. The Options are held directly by Mr. Stampacchia.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Kezar Life Sciences, Inc.
Report date June 25, 2018 · Filed June 25, 2018
Jointly reported with Omega Fund IV, L.P., Omega Fund IV GP, L.P., Omega Fund IV G.P. Manager, Ltd., Stampacchia Otello, Paster Anne-Mari
Section 16 reporting ended · disclosed 2018-06-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 315,489 |
Reported balance
After 2018-06-25 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-06-25 · Conversion · Acquired 315,489 · Balance 315,489 F1: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date. |
| Common StockSEC Table I · non-derivative | Direct | 693,272 |
Reported balance
After 2018-06-25 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2018-06-25 · Conversion · Acquired 377,783 · Balance 693,272 F3: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date. |
| Common StockSEC Table I · non-derivative | IndirectBy Omega IV | 693,272 |
Last balance in matching sequence
After 2018-06-25 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2018-06-25 · Conversion · Acquired 315,489 · Balance 315,489 F1: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date. F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein. Row 4 · 2018-06-25 · Conversion · Acquired 377,783 · Balance 693,272 F3: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date. F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein. |
| Series A Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-06-25 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-06-25 · Conversion · Disposed 315,489 · Balance 0 F1: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date. |
| Series A Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy Omega IV | 0 |
Reported balance
After 2018-06-25 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-06-25 · Conversion · Disposed 315,489 · Balance 0 F1: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date. F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein. |
| Series B Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-06-25 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-06-25 · Conversion · Disposed 377,783 · Balance 0 F3: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date. |
| Series B Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy Omega IV | 0 |
Reported balance
After 2018-06-25 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-06-25 · Conversion · Disposed 377,783 · Balance 0 F3: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date. F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date.
F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein.
F3: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date.
Morphic Holding, Inc.
Report date July 01, 2019 · Filed July 01, 2019
Jointly reported with Omega Fund V, L.P., Omega Fund V GP, L.P., Omega Fund V GP Manager, Ltd., Nessi Claudio, Paster Anne-Mari, Stampacchia Otello
Section 16 reporting ended · disclosed 2019-07-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,969,582 |
Last balance in matching sequence
After 2019-07-01 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2019-07-01 · Conversion · Acquired 857,470 · Balance 857,470 F1: Each share of the issuer's Series A Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein. Row 2 · 2019-07-01 · Conversion · Acquired 1,978,779 · Balance 2,836,249 F3: Each share of the issuer's Series B Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.By Omega Fund V, L.P., by Omega Fund GP, L.P., its general partner, by Omega Fund V GP Manager, Ltd., its general partner, /s/ Anne-Mari Paster, Director F2: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein. Row 3 · 2019-07-01 · Purchase · Acquired 133,333 · Balance 2,969,582 F2: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-07-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-07-01 · Conversion · Disposed 857,470 · Balance 0 F1: Each share of the issuer's Series A Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-07-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-07-01 · Conversion · Disposed 1,978,779 · Balance 0 F3: Each share of the issuer's Series B Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.By Omega Fund V, L.P., by Omega Fund GP, L.P., its general partner, by Omega Fund V GP Manager, Ltd., its general partner, /s/ Anne-Mari Paster, Director F2: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the issuer's Series A Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.
F2: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein.
F3: Each share of the issuer's Series B Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.By Omega Fund V, L.P., by Omega Fund GP, L.P., its general partner, by Omega Fund V GP Manager, Ltd., its general partner, /s/ Anne-Mari Paster, Director
Translate Bio, Inc.
Report date July 02, 2018 · Filed July 03, 2018
Jointly reported with Omega Fund IV, L.P., Omega Fund IV GP, L.P., Omega Fund IV G.P. Manager, Ltd., Omega Fund V, L.P., Omega Fund V GP, L.P., Omega Fund V GP Manager, Ltd., Stampacchia Otello, Paster Anne-Mari, Nessi Claudio
Section 16 reporting ended · disclosed 2018-07-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 979,179 |
Reported balance
After 2018-07-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-07-02 · Conversion · Acquired 979,179 · Balance 979,179 F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. |
| Common StockSEC Table I · non-derivative | Direct | 1,458,424 |
Reported balance
After 2018-07-02 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2018-07-02 · Conversion · Acquired 1,458,424 · Balance 1,458,424 F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. |
| Common StockSEC Table I · non-derivative | IndirectBy Omega IV | 979,179 |
Reported balance
After 2018-07-02 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-07-02 · Conversion · Acquired 979,179 · Balance 979,179 F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectBy Omega V | 1,458,424 |
Reported balance
After 2018-07-02 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2018-07-02 · Conversion · Acquired 1,458,424 · Balance 1,458,424 F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F3: The reported securities are beneficially owned by Omega Fund V GP, L.P. ("Omega V GP"), as general partner of Omega Fund V, L.P. ("Omega V"). Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), is the general partner of Omega V GP. Otello Stampacchia, Richard Lim, Anne-Mari Paster and Claudio Nessi are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-07-02 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-07-02 · Conversion · Disposed 2,500,000 · Balance 0 F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-07-02 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2018-07-02 · Conversion · Disposed 5,800,000 · Balance 0 F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectBy Omega IV | 0 |
Reported balance
After 2018-07-02 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-07-02 · Conversion · Disposed 2,500,000 · Balance 0 F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-07-02 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-07-02 · Conversion · Disposed 1,676,348 · Balance 0 F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-07-02 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2018-07-02 · Conversion · Disposed 2,000,103 · Balance 0 F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Omega IV | 0 |
Reported balance
After 2018-07-02 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-07-02 · Conversion · Disposed 1,676,348 · Balance 0 F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any. |
| Series C Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-07-02 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2018-07-02 · Conversion · Disposed 1,263,484 · Balance 0 F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. |
| Series C Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-07-02 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2018-07-02 · Conversion · Disposed 302,173 · Balance 0 F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectBy Omega IV | 0 |
Reported balance
After 2018-07-02 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2018-07-02 · Conversion · Disposed 1,263,484 · Balance 0 F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectBy Omega V | 0 |
Reported balance
After 2018-07-02 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2018-07-02 · Conversion · Disposed 5,800,000 · Balance 0 F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F3: The reported securities are beneficially owned by Omega Fund V GP, L.P. ("Omega V GP"), as general partner of Omega Fund V, L.P. ("Omega V"). Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), is the general partner of Omega V GP. Otello Stampacchia, Richard Lim, Anne-Mari Paster and Claudio Nessi are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Omega V | 0 |
Reported balance
After 2018-07-02 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2018-07-02 · Conversion · Disposed 2,000,103 · Balance 0 F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F3: The reported securities are beneficially owned by Omega Fund V GP, L.P. ("Omega V GP"), as general partner of Omega Fund V, L.P. ("Omega V"). Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), is the general partner of Omega V GP. Otello Stampacchia, Richard Lim, Anne-Mari Paster and Claudio Nessi are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectBy Omega V | 0 |
Reported balance
After 2018-07-02 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2018-07-02 · Conversion · Disposed 302,173 · Balance 0 F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F3: The reported securities are beneficially owned by Omega Fund V GP, L.P. ("Omega V GP"), as general partner of Omega Fund V, L.P. ("Omega V"). Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), is the general partner of Omega V GP. Otello Stampacchia, Richard Lim, Anne-Mari Paster and Claudio Nessi are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.
F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any.
F3: The reported securities are beneficially owned by Omega Fund V GP, L.P. ("Omega V GP"), as general partner of Omega Fund V, L.P. ("Omega V"). Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), is the general partner of Omega V GP. Otello Stampacchia, Richard Lim, Anne-Mari Paster and Claudio Nessi are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any.
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 |
|---|---|---|---|---|---|---|
| July 01, 2019 Filed Jul 1, 2019 19:55 UTC | Morphic Holding, Inc. MORF · Entity 88114 | ConversionSeries B Preferred Stock · Derivative | 1,978,779 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-008266 · edgar.xml · derivative · entry 5 Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Nessi Claudio · CIK 0001722050 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Stampacchia Otello · CIK 0001361712 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,978,779 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the issuer's Series B Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.By Omega Fund V, L.P., by Omega Fund GP, L.P., its general partner, by Omega Fund V GP Manager, Ltd., its general partner, /s/ Anne-Mari Paster, Director F3 · derivative.exercise_date: Each share of the issuer's Series B Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.By Omega Fund V, L.P., by Omega Fund GP, L.P., its general partner, by Omega Fund V GP Manager, Ltd., its general partner, /s/ Anne-Mari Paster, Director F3 · derivative.expiration_date: Each share of the issuer's Series B Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.By Omega Fund V, L.P., by Omega Fund GP, L.P., its general partner, by Omega Fund V GP Manager, Ltd., its general partner, /s/ Anne-Mari Paster, Director F2 · ownership.direct: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein. Read SEC document |
| July 01, 2019 Filed Jul 1, 2019 19:55 UTC | Morphic Holding, Inc. MORF · Entity 88114 | ConversionSeries A Preferred Stock · Derivative | 857,470 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-008266 · edgar.xml · derivative · entry 4 Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Nessi Claudio · CIK 0001722050 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Stampacchia Otello · CIK 0001361712 · Director · 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 · 857,470 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.direct: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein. Read SEC document |
| July 01, 2019 Filed Jul 1, 2019 19:55 UTC | Morphic Holding, Inc. MORF · Entity 88114 | PurchaseCommon Stock | 133,333 | $15.00 | $1,999,995.00 |
DisclosureSEC source: 0001179110-19-008266 · edgar.xml · nonDerivative · entry 3 Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Nessi Claudio · CIK 0001722050 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Stampacchia Otello · CIK 0001361712 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,969,582 F2 · ownership.direct: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein. Read SEC document |
| July 01, 2019 Filed Jul 1, 2019 19:55 UTC | Morphic Holding, Inc. MORF · Entity 88114 | ConversionCommon Stock | 1,978,779 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-008266 · edgar.xml · nonDerivative · entry 2 Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Nessi Claudio · CIK 0001722050 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Stampacchia Otello · CIK 0001361712 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,836,249 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the issuer's Series B Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.By Omega Fund V, L.P., by Omega Fund GP, L.P., its general partner, by Omega Fund V GP Manager, Ltd., its general partner, /s/ Anne-Mari Paster, Director F2 · ownership.direct: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein. Read SEC document |
| July 01, 2019 Filed Jul 1, 2019 19:55 UTC | Morphic Holding, Inc. MORF · Entity 88114 | ConversionCommon Stock | 857,470 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-008266 · edgar.xml · nonDerivative · entry 1 Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Nessi Claudio · CIK 0001722050 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Stampacchia Otello · CIK 0001361712 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 857,470 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the issuer's Series A Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.direct: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 18:24 UTC | Replimune Group, Inc. REPL · Entity 4707 | GrantEmployee Stock Option (Right to Buy) · Derivative | 13,500 | $0.00 Strike: $15.50 | $0.00 |
DisclosureSEC source: 0000899243-19-009840 · doc4.xml · derivative · entry 1 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Stampacchia Otello · CIK 0001361712 · Director · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,500 Underlying: Common Stock · 13,500 shares Expires not disclosed F1 · derivative.exercise_date: The Common Stock Options (the "Options") were granted to Otello Stampacchia in his capacity as a director of the issuer on April 1, 2019 (the "Grant Date"), with the Options vesting on the first anniversary of the Grant Date. The Options expire on the tenth anniversary of the Grant Date. The Options are held directly by Mr. Stampacchia. F1 · derivative.expiration_date: The Common Stock Options (the "Options") were granted to Otello Stampacchia in his capacity as a director of the issuer on April 1, 2019 (the "Grant Date"), with the Options vesting on the first anniversary of the Grant Date. The Options expire on the tenth anniversary of the Grant Date. The Options are held directly by Mr. Stampacchia. F1 · balance_after: The Common Stock Options (the "Options") were granted to Otello Stampacchia in his capacity as a director of the issuer on April 1, 2019 (the "Grant Date"), with the Options vesting on the first anniversary of the Grant Date. The Options expire on the tenth anniversary of the Grant Date. The Options are held directly by Mr. Stampacchia. F1 · ownership.direct: The Common Stock Options (the "Options") were granted to Otello Stampacchia in his capacity as a director of the issuer on April 1, 2019 (the "Grant Date"), with the Options vesting on the first anniversary of the Grant Date. The Options expire on the tenth anniversary of the Grant Date. The Options are held directly by Mr. Stampacchia. Read SEC document |
| July 24, 2018 Filed Jul 25, 2018 17:09 UTC | Replimune Group, Inc. REPL · Entity 4707 | ConversionSeries B Convertible Preferred Stock · Derivative | 101,896 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-020583 · doc4.xml · derivative · entry 9 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Stampacchia Otello · CIK 0001361712 · Director · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,013,547 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 B Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a 1-for-9.94688 basis upon the completion of IPO. The Series B had no expiration date. F4 · derivative.exercise_date: The Series B Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a 1-for-9.94688 basis upon the completion of IPO. The Series B had no expiration date. F4 · derivative.expiration_date: The Series B Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a 1-for-9.94688 basis upon the completion of IPO. The Series B had no expiration date. F1 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV, L.P. ("Omega IV"). The reported securities may be deemed to be beneficially owned by each of Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega IV, and Omega Fund IV GP Manager, Ltd. ("Omega IV GP Manager"), as the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV and, as a result, may each be deemed to beneficially own the reported securities. Otello Stampacchia is also a director of the issuer. Each of the Reporting Persons disclaims beneficial ownership of the reported securities, except to the extent of his, her or its pecuniary interest therein. Read SEC document |
| July 24, 2018 Filed Jul 25, 2018 17:09 UTC | Replimune Group, Inc. REPL · Entity 4707 | ConversionSeries A Convertible Preferred Stock · Derivative | 259,366 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-020583 · doc4.xml · derivative · entry 8 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Stampacchia Otello · CIK 0001361712 · Director · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 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 · 2,579,881 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 A Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a 1-for-9.94688 basis upon the completion of IPO. The Series A had no expiration date. F3 · derivative.exercise_date: The Series A Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a 1-for-9.94688 basis upon the completion of IPO. The Series A had no expiration date. F3 · derivative.expiration_date: The Series A Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a 1-for-9.94688 basis upon the completion of IPO. The Series A had no expiration date. F1 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV, L.P. ("Omega IV"). The reported securities may be deemed to be beneficially owned by each of Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega IV, and Omega Fund IV GP Manager, Ltd. ("Omega IV GP Manager"), as the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV and, as a result, may each be deemed to beneficially own the reported securities. Otello Stampacchia is also a director of the issuer. Each of the Reporting Persons disclaims beneficial ownership of the reported securities, except to the extent of his, her or its pecuniary interest therein. Read SEC document |
| July 24, 2018 Filed Jul 25, 2018 17:09 UTC | Replimune Group, Inc. REPL · Entity 4707 | ConversionSeries Seed Preferred Stock · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-020583 · doc4.xml · derivative · entry 7 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Stampacchia Otello · CIK 0001361712 · Director · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 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 · 994,688 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 Seed Preferred Stock ("Series Seed") converted automatically into shares of the issuer's common stock on a 1-for-9.94688 basis upon the completion of the issuer's public offering of common stock pursuant the issuer's registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 22, 2018, as subsequently amended (the "IPO"). The Series Seed had no expiration date. F2 · derivative.exercise_date: The Series Seed Preferred Stock ("Series Seed") converted automatically into shares of the issuer's common stock on a 1-for-9.94688 basis upon the completion of the issuer's public offering of common stock pursuant the issuer's registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 22, 2018, as subsequently amended (the "IPO"). The Series Seed had no expiration date. F2 · derivative.expiration_date: The Series Seed Preferred Stock ("Series Seed") converted automatically into shares of the issuer's common stock on a 1-for-9.94688 basis upon the completion of the issuer's public offering of common stock pursuant the issuer's registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 22, 2018, as subsequently amended (the "IPO"). The Series Seed had no expiration date. F1 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV, L.P. ("Omega IV"). The reported securities may be deemed to be beneficially owned by each of Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega IV, and Omega Fund IV GP Manager, Ltd. ("Omega IV GP Manager"), as the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV and, as a result, may each be deemed to beneficially own the reported securities. Otello Stampacchia is also a director of the issuer. Each of the Reporting Persons disclaims beneficial ownership of the reported securities, except to the extent of his, her or its pecuniary interest therein. Read SEC document |
| July 24, 2018 Filed Jul 25, 2018 17:09 UTC | Replimune Group, Inc. REPL · Entity 4707 | ConversionCommon Stock Warrants (right to buy) · Derivative | 248,672 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-020583 · doc4.xml · derivative · entry 6 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Stampacchia Otello · CIK 0001361712 · Director · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,672 Underlying: Common Stock · 248,672 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 Seed Warrants (the "Seed Warrants") converted automatically in warrants to purchase shares of the issuer's common stock (the "Common Stock Warrants") on a 1-for-9.94688 basis upon the completion of IPO. The exercise price of the Common Stock Warrants is $1.01 per share of the issuer's common stock. The Seed Warrants had no expiration date and the Common Stock Warrants have no expiration date. F5 · derivative.exercise_date: The Series Seed Warrants (the "Seed Warrants") converted automatically in warrants to purchase shares of the issuer's common stock (the "Common Stock Warrants") on a 1-for-9.94688 basis upon the completion of IPO. The exercise price of the Common Stock Warrants is $1.01 per share of the issuer's common stock. The Seed Warrants had no expiration date and the Common Stock Warrants have no expiration date. F5 · derivative.expiration_date: The Series Seed Warrants (the "Seed Warrants") converted automatically in warrants to purchase shares of the issuer's common stock (the "Common Stock Warrants") on a 1-for-9.94688 basis upon the completion of IPO. The exercise price of the Common Stock Warrants is $1.01 per share of the issuer's common stock. The Seed Warrants had no expiration date and the Common Stock Warrants have no expiration date. F1 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV, L.P. ("Omega IV"). The reported securities may be deemed to be beneficially owned by each of Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega IV, and Omega Fund IV GP Manager, Ltd. ("Omega IV GP Manager"), as the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV and, as a result, may each be deemed to beneficially own the reported securities. Otello Stampacchia is also a director of the issuer. Each of the Reporting Persons disclaims beneficial ownership of the reported securities, except to the extent of his, her or its pecuniary interest therein. Read SEC document |
| July 24, 2018 Filed Jul 25, 2018 17:09 UTC | Replimune Group, Inc. REPL · Entity 4707 | ConversionSeries Seed Warrants (right to buy) · Derivative | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-020583 · doc4.xml · derivative · entry 5 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Stampacchia Otello · CIK 0001361712 · Director · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 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: Series Seed Preferred Stock · 25,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: The Series Seed Warrants (the "Seed Warrants") converted automatically in warrants to purchase shares of the issuer's common stock (the "Common Stock Warrants") on a 1-for-9.94688 basis upon the completion of IPO. The exercise price of the Common Stock Warrants is $1.01 per share of the issuer's common stock. The Seed Warrants had no expiration date and the Common Stock Warrants have no expiration date. F5 · derivative.exercise_date: The Series Seed Warrants (the "Seed Warrants") converted automatically in warrants to purchase shares of the issuer's common stock (the "Common Stock Warrants") on a 1-for-9.94688 basis upon the completion of IPO. The exercise price of the Common Stock Warrants is $1.01 per share of the issuer's common stock. The Seed Warrants had no expiration date and the Common Stock Warrants have no expiration date. F5 · derivative.expiration_date: The Series Seed Warrants (the "Seed Warrants") converted automatically in warrants to purchase shares of the issuer's common stock (the "Common Stock Warrants") on a 1-for-9.94688 basis upon the completion of IPO. The exercise price of the Common Stock Warrants is $1.01 per share of the issuer's common stock. The Seed Warrants had no expiration date and the Common Stock Warrants have no expiration date. F5 · derivative.underlying_shares: The Series Seed Warrants (the "Seed Warrants") converted automatically in warrants to purchase shares of the issuer's common stock (the "Common Stock Warrants") on a 1-for-9.94688 basis upon the completion of IPO. The exercise price of the Common Stock Warrants is $1.01 per share of the issuer's common stock. The Seed Warrants had no expiration date and the Common Stock Warrants have no expiration date. F1 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV, L.P. ("Omega IV"). The reported securities may be deemed to be beneficially owned by each of Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega IV, and Omega Fund IV GP Manager, Ltd. ("Omega IV GP Manager"), as the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV and, as a result, may each be deemed to beneficially own the reported securities. Otello Stampacchia is also a director of the issuer. Each of the Reporting Persons disclaims beneficial ownership of the reported securities, except to the extent of his, her or its pecuniary interest therein. Read SEC document |
| July 24, 2018 Filed Jul 25, 2018 17:09 UTC | Replimune Group, Inc. REPL · Entity 4707 | ConversionCommon Stock | 1,013,547 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-020583 · doc4.xml · nonDerivative · entry 4 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Stampacchia Otello · CIK 0001361712 · Director · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,854,783 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 B Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a 1-for-9.94688 basis upon the completion of IPO. The Series B had no expiration date. F1 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV, L.P. ("Omega IV"). The reported securities may be deemed to be beneficially owned by each of Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega IV, and Omega Fund IV GP Manager, Ltd. ("Omega IV GP Manager"), as the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV and, as a result, may each be deemed to beneficially own the reported securities. Otello Stampacchia is also a director of the issuer. Each of the Reporting Persons disclaims beneficial ownership of the reported securities, except to the extent of his, her or its pecuniary interest therein. Read SEC document |
| July 24, 2018 Filed Jul 25, 2018 17:09 UTC | Replimune Group, Inc. REPL · Entity 4707 | ConversionCommon Stock | 2,579,881 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-020583 · doc4.xml · nonDerivative · entry 3 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Stampacchia Otello · CIK 0001361712 · Director · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,841,236 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 A Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a 1-for-9.94688 basis upon the completion of IPO. The Series A had no expiration date. F1 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV, L.P. ("Omega IV"). The reported securities may be deemed to be beneficially owned by each of Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega IV, and Omega Fund IV GP Manager, Ltd. ("Omega IV GP Manager"), as the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV and, as a result, may each be deemed to beneficially own the reported securities. Otello Stampacchia is also a director of the issuer. Each of the Reporting Persons disclaims beneficial ownership of the reported securities, except to the extent of his, her or its pecuniary interest therein. Read SEC document |
| July 24, 2018 Filed Jul 25, 2018 17:09 UTC | Replimune Group, Inc. REPL · Entity 4707 | ConversionCommon Stock | 994,688 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-020583 · doc4.xml · nonDerivative · entry 2 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Stampacchia Otello · CIK 0001361712 · Director · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,261,355 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 Seed Preferred Stock ("Series Seed") converted automatically into shares of the issuer's common stock on a 1-for-9.94688 basis upon the completion of the issuer's public offering of common stock pursuant the issuer's registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 22, 2018, as subsequently amended (the "IPO"). The Series Seed had no expiration date. F1 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV, L.P. ("Omega IV"). The reported securities may be deemed to be beneficially owned by each of Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega IV, and Omega Fund IV GP Manager, Ltd. ("Omega IV GP Manager"), as the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV and, as a result, may each be deemed to beneficially own the reported securities. Otello Stampacchia is also a director of the issuer. Each of the Reporting Persons disclaims beneficial ownership of the reported securities, except to the extent of his, her or its pecuniary interest therein. Read SEC document |
| July 24, 2018 Filed Jul 25, 2018 17:09 UTC | Replimune Group, Inc. REPL · Entity 4707 | PurchaseCommon Stock | 266,667 | $15.00 | $4,000,005.00 |
DisclosureSEC source: 0000899243-18-020583 · doc4.xml · nonDerivative · entry 1 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Stampacchia Otello · CIK 0001361712 · Director · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 266,667 F1 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV, L.P. ("Omega IV"). The reported securities may be deemed to be beneficially owned by each of Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega IV, and Omega Fund IV GP Manager, Ltd. ("Omega IV GP Manager"), as the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV and, as a result, may each be deemed to beneficially own the reported securities. Otello Stampacchia is also a director of the issuer. Each of the Reporting Persons disclaims beneficial ownership of the reported securities, except to the extent of his, her or its pecuniary interest therein. Read SEC document |
| July 19, 2018 Filed Jul 25, 2018 17:09 UTC | Replimune Group, Inc. REPL · Entity 4707 | GrantCommon Stock Option · Derivative | 13,500 | $0.00 Strike: $15.00 | $0.00 |
DisclosureSEC source: 0000899243-18-020583 · doc4.xml · derivative · entry 10 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Stampacchia Otello · CIK 0001361712 · Director · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,500 Underlying: Common Stock · 13,500 shares Expires not disclosed F6 · derivative.exercise_date: The Common Stock Options (the "Options") were granted to Otello Stampacchia in his capacity as a director of the issuer on July 19, 2018 (the "Grant Date") contingent upon the closing of the IPO, with 25% of the Options vesting on the first anniversary of the Grant Date and an additional 3.125% of the Options vesting each month thereafter for 24 months. The Options expire on the tenth anniversary of the Grant Date. F6 · derivative.expiration_date: The Common Stock Options (the "Options") were granted to Otello Stampacchia in his capacity as a director of the issuer on July 19, 2018 (the "Grant Date") contingent upon the closing of the IPO, with 25% of the Options vesting on the first anniversary of the Grant Date and an additional 3.125% of the Options vesting each month thereafter for 24 months. The Options expire on the tenth anniversary of the Grant Date. F6 · balance_after: The Common Stock Options (the "Options") were granted to Otello Stampacchia in his capacity as a director of the issuer on July 19, 2018 (the "Grant Date") contingent upon the closing of the IPO, with 25% of the Options vesting on the first anniversary of the Grant Date and an additional 3.125% of the Options vesting each month thereafter for 24 months. The Options expire on the tenth anniversary of the Grant Date. F6 · ownership.direct: The Common Stock Options (the "Options") were granted to Otello Stampacchia in his capacity as a director of the issuer on July 19, 2018 (the "Grant Date") contingent upon the closing of the IPO, with 25% of the Options vesting on the first anniversary of the Grant Date and an additional 3.125% of the Options vesting each month thereafter for 24 months. The Options expire on the tenth anniversary of the Grant Date. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:44 UTC | Translate Bio, Inc. TBIO · Entity 135439 | ConversionSeries C Preferred Stock · Derivative | 302,173 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-019324 · doc4.xml · derivative · entry 16 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Stampacchia Otello · CIK 0001361712 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Nessi Claudio · CIK 0001722050 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Omega V Disclosed balance after: 0 Underlying: Common Stock · 54,391 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, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F3 · ownership.direct: The reported securities are beneficially owned by Omega Fund V GP, L.P. ("Omega V GP"), as general partner of Omega Fund V, L.P. ("Omega V"). Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), is the general partner of Omega V GP. Otello Stampacchia, Richard Lim, Anne-Mari Paster and Claudio Nessi are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:44 UTC | Translate Bio, Inc. TBIO · Entity 135439 | ConversionSeries C Preferred Stock · Derivative | 302,173 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-019324 · doc4.xml · derivative · entry 15 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Stampacchia Otello · CIK 0001361712 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Nessi Claudio · CIK 0001722050 · 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 · 54,391 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, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:44 UTC | Translate Bio, Inc. TBIO · Entity 135439 | ConversionSeries B Preferred Stock · Derivative | 2,000,103 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-019324 · doc4.xml · derivative · entry 14 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Stampacchia Otello · CIK 0001361712 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Nessi Claudio · CIK 0001722050 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Omega V Disclosed balance after: 0 Underlying: Common Stock · 360,022 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, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F3 · ownership.direct: The reported securities are beneficially owned by Omega Fund V GP, L.P. ("Omega V GP"), as general partner of Omega Fund V, L.P. ("Omega V"). Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), is the general partner of Omega V GP. Otello Stampacchia, Richard Lim, Anne-Mari Paster and Claudio Nessi are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:44 UTC | Translate Bio, Inc. TBIO · Entity 135439 | ConversionSeries B Preferred Stock · Derivative | 2,000,103 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-019324 · doc4.xml · derivative · entry 13 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Stampacchia Otello · CIK 0001361712 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Nessi Claudio · CIK 0001722050 · 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 · 360,022 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, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:44 UTC | Translate Bio, Inc. TBIO · Entity 135439 | ConversionSeries A Preferred Stock · Derivative | 5,800,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-019324 · doc4.xml · derivative · entry 12 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Stampacchia Otello · CIK 0001361712 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Nessi Claudio · CIK 0001722050 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Omega V Disclosed balance after: 0 Underlying: Common Stock · 1,044,010 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. F1 · derivative.exercise_price: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F3 · ownership.direct: The reported securities are beneficially owned by Omega Fund V GP, L.P. ("Omega V GP"), as general partner of Omega Fund V, L.P. ("Omega V"). Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), is the general partner of Omega V GP. Otello Stampacchia, Richard Lim, Anne-Mari Paster and Claudio Nessi are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:44 UTC | Translate Bio, Inc. TBIO · Entity 135439 | ConversionSeries A Preferred Stock · Derivative | 5,800,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-019324 · doc4.xml · derivative · entry 11 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Stampacchia Otello · CIK 0001361712 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Nessi Claudio · CIK 0001722050 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,044,010 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. F1 · derivative.exercise_price: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:44 UTC | Translate Bio, Inc. TBIO · Entity 135439 | ConversionSeries C Preferred Stock · Derivative | 1,263,484 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-019324 · doc4.xml · derivative · entry 10 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Stampacchia Otello · CIK 0001361712 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Nessi Claudio · CIK 0001722050 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Omega IV Disclosed balance after: 0 Underlying: Common Stock · 227,429 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, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:44 UTC | Translate Bio, Inc. TBIO · Entity 135439 | ConversionSeries C Preferred Stock · Derivative | 1,263,484 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-019324 · doc4.xml · derivative · entry 9 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Stampacchia Otello · CIK 0001361712 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Nessi Claudio · CIK 0001722050 · 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 · 227,429 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, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:44 UTC | Translate Bio, Inc. TBIO · Entity 135439 | ConversionSeries B Preferred Stock · Derivative | 1,676,348 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-019324 · doc4.xml · derivative · entry 8 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Stampacchia Otello · CIK 0001361712 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Nessi Claudio · CIK 0001722050 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Omega IV Disclosed balance after: 0 Underlying: Common Stock · 301,745 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, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:44 UTC | Translate Bio, Inc. TBIO · Entity 135439 | ConversionSeries B Preferred Stock · Derivative | 1,676,348 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-019324 · doc4.xml · derivative · entry 7 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Stampacchia Otello · CIK 0001361712 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Nessi Claudio · CIK 0001722050 · 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 · 301,745 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, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:44 UTC | Translate Bio, Inc. TBIO · Entity 135439 | ConversionSeries A Preferred Stock · Derivative | 2,500,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-019324 · doc4.xml · derivative · entry 6 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Stampacchia Otello · CIK 0001361712 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Nessi Claudio · CIK 0001722050 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Omega IV Disclosed balance after: 0 Underlying: Common Stock · 450,004 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, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:44 UTC | Translate Bio, Inc. TBIO · Entity 135439 | ConversionSeries A Preferred Stock · Derivative | 2,500,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-019324 · doc4.xml · derivative · entry 5 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Stampacchia Otello · CIK 0001361712 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Nessi Claudio · CIK 0001722050 · 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 · 450,004 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, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:44 UTC | Translate Bio, Inc. TBIO · Entity 135439 | ConversionCommon Stock | 1,458,424 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-019324 · doc4.xml · nonDerivative · entry 4 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Stampacchia Otello · CIK 0001361712 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Nessi Claudio · CIK 0001722050 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Omega V Disclosed balance after: 1,458,424 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, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F3 · ownership.direct: The reported securities are beneficially owned by Omega Fund V GP, L.P. ("Omega V GP"), as general partner of Omega Fund V, L.P. ("Omega V"). Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), is the general partner of Omega V GP. Otello Stampacchia, Richard Lim, Anne-Mari Paster and Claudio Nessi are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:44 UTC | Translate Bio, Inc. TBIO · Entity 135439 | ConversionCommon Stock | 1,458,424 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-019324 · doc4.xml · nonDerivative · entry 3 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Stampacchia Otello · CIK 0001361712 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Nessi Claudio · CIK 0001722050 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,458,424 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, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:44 UTC | Translate Bio, Inc. TBIO · Entity 135439 | ConversionCommon Stock | 979,179 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-019324 · doc4.xml · nonDerivative · entry 2 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Stampacchia Otello · CIK 0001361712 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Nessi Claudio · CIK 0001722050 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Omega IV Disclosed balance after: 979,179 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, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:44 UTC | Translate Bio, Inc. TBIO · Entity 135439 | ConversionCommon Stock | 979,179 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-019324 · doc4.xml · nonDerivative · entry 1 Omega Fund IV, L.P. · CIK 0001528382 · 10% owner Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner Omega Fund V, L.P. · CIK 0001641354 · 10% owner Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner Stampacchia Otello · CIK 0001361712 · 10% owner Lim Richard J. · CIK 0001623720 · 10% owner Paster Anne-Mari · CIK 0001652863 · 10% owner Nessi Claudio · CIK 0001722050 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 979,179 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, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 19:07 UTC | Kezar Life Sciences, Inc. KZR · Entity 12111 | ConversionSeries B Redeemable Convertible Preferred Stock · Derivative | 377,783 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-017995 · doc4.xml · derivative · entry 8 Omega Fund IV, L.P. · CIK 0001528382 · Former 10% Owner Omega Fund IV GP, L.P. · CIK 0001528383 · Former 10% Owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · Former 10% Owner Stampacchia Otello · CIK 0001361712 · Former 10% Owner Lim Richard J. · CIK 0001623720 · Former 10% Owner Paster Anne-Mari · CIK 0001652863 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Omega IV Disclosed balance after: 0 Underlying: Common Stock · 377,783 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 Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date. F3 · derivative.exercise_date: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date. F3 · derivative.expiration_date: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date. F2 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 19:07 UTC | Kezar Life Sciences, Inc. KZR · Entity 12111 | ConversionSeries B Redeemable Convertible Preferred Stock · Derivative | 377,783 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-017995 · doc4.xml · derivative · entry 7 Omega Fund IV, L.P. · CIK 0001528382 · Former 10% Owner Omega Fund IV GP, L.P. · CIK 0001528383 · Former 10% Owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · Former 10% Owner Stampacchia Otello · CIK 0001361712 · Former 10% Owner Lim Richard J. · CIK 0001623720 · Former 10% Owner Paster Anne-Mari · CIK 0001652863 · Former 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 · 377,783 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 Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date. F3 · derivative.exercise_date: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date. F3 · derivative.expiration_date: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 19:07 UTC | Kezar Life Sciences, Inc. KZR · Entity 12111 | ConversionSeries A Redeemable Convertible Preferred Stock · Derivative | 315,489 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-017995 · doc4.xml · derivative · entry 6 Omega Fund IV, L.P. · CIK 0001528382 · Former 10% Owner Omega Fund IV GP, L.P. · CIK 0001528383 · Former 10% Owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · Former 10% Owner Stampacchia Otello · CIK 0001361712 · Former 10% Owner Lim Richard J. · CIK 0001623720 · Former 10% Owner Paster Anne-Mari · CIK 0001652863 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Omega IV Disclosed balance after: 0 Underlying: Common Stock · 315,489 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 Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date. F1 · derivative.exercise_date: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date. F1 · derivative.expiration_date: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date. F2 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 19:07 UTC | Kezar Life Sciences, Inc. KZR · Entity 12111 | ConversionSeries A Redeemable Convertible Preferred Stock · Derivative | 315,489 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-017995 · doc4.xml · derivative · entry 5 Omega Fund IV, L.P. · CIK 0001528382 · Former 10% Owner Omega Fund IV GP, L.P. · CIK 0001528383 · Former 10% Owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · Former 10% Owner Stampacchia Otello · CIK 0001361712 · Former 10% Owner Lim Richard J. · CIK 0001623720 · Former 10% Owner Paster Anne-Mari · CIK 0001652863 · Former 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 · 315,489 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 Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date. F1 · derivative.exercise_date: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date. F1 · derivative.expiration_date: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 19:07 UTC | Kezar Life Sciences, Inc. KZR · Entity 12111 | ConversionCommon Stock | 377,783 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-017995 · doc4.xml · nonDerivative · entry 4 Omega Fund IV, L.P. · CIK 0001528382 · Former 10% Owner Omega Fund IV GP, L.P. · CIK 0001528383 · Former 10% Owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · Former 10% Owner Stampacchia Otello · CIK 0001361712 · Former 10% Owner Lim Richard J. · CIK 0001623720 · Former 10% Owner Paster Anne-Mari · CIK 0001652863 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Omega IV Disclosed balance after: 693,272 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 Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date. F2 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 19:07 UTC | Kezar Life Sciences, Inc. KZR · Entity 12111 | ConversionCommon Stock | 377,783 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-017995 · doc4.xml · nonDerivative · entry 3 Omega Fund IV, L.P. · CIK 0001528382 · Former 10% Owner Omega Fund IV GP, L.P. · CIK 0001528383 · Former 10% Owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · Former 10% Owner Stampacchia Otello · CIK 0001361712 · Former 10% Owner Lim Richard J. · CIK 0001623720 · Former 10% Owner Paster Anne-Mari · CIK 0001652863 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 693,272 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 Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 19:07 UTC | Kezar Life Sciences, Inc. KZR · Entity 12111 | ConversionCommon Stock | 315,489 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-017995 · doc4.xml · nonDerivative · entry 2 Omega Fund IV, L.P. · CIK 0001528382 · Former 10% Owner Omega Fund IV GP, L.P. · CIK 0001528383 · Former 10% Owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · Former 10% Owner Stampacchia Otello · CIK 0001361712 · Former 10% Owner Lim Richard J. · CIK 0001623720 · Former 10% Owner Paster Anne-Mari · CIK 0001652863 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Omega IV Disclosed balance after: 315,489 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 Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date. F2 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 19:07 UTC | Kezar Life Sciences, Inc. KZR · Entity 12111 | ConversionCommon Stock | 315,489 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-017995 · doc4.xml · nonDerivative · entry 1 Omega Fund IV, L.P. · CIK 0001528382 · Former 10% Owner Omega Fund IV GP, L.P. · CIK 0001528383 · Former 10% Owner Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · Former 10% Owner Stampacchia Otello · CIK 0001361712 · Former 10% Owner Lim Richard J. · CIK 0001623720 · Former 10% Owner Paster Anne-Mari · CIK 0001652863 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 315,489 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 Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date. 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.