Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| G1 Therapeutics, Inc.GTHX · Entity 87413 | 10% owner | May 30, 2018 | June 01, 2018 |
| PhaseBio Pharmaceuticals IncPHAS · Entity 113305 | 10% owner | October 22, 2018 | October 24, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
G1 Therapeutics, Inc.
Report date May 30, 2018 · Filed June 01, 2018
Jointly reported with Thorp Clay, Hatteras Venture Advisors IV SBIC, LLC, Hatteras Venture Partners IV SBIC, LP, INGRAM ROBERT ALEXANDER, LEE KENNETH B JR, Reed Douglas MD
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,279,421 |
Reported balance
After 2018-05-30 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-05-30 · Sale · Disposed 758,290 · Balance 3,279,421 F1: Following the reported transaction, in which none of the reportable securities owned directly by Hatteras Venture Advisors V, LLC ("HVA V") were sold, 995 shares of the reportable securities are owned directly by HVA V. The securities directly held by HVA V are indirectly held by the individual managing members of HVA V (each, a "Managing Member" and collectively, the "Managing Members"). The Managing Members are John Crumpler, Clay Thorp, Christy Shaffer, Douglas Reed and Robert Ingram. The Managing Members may share voting and dispositive power over the securities directly held by HVA V. Each Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein. F2: Following the reported transaction, 3,067,962 shares of the reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. F3: Following the reported transaction, in which none of the reportable securities owned directly by Hatteras NC Fund, LP ("Hatteras NC") were sold, 210,464 shares of the reportable securities are owned directly by Hatteras NC. Hatteras Venture Advisors IV, LLC ("HVA IV") is the general partner of Hatteras NC. The securities directly held by Hatteras NC are indirectly held by the individual managing members of HVA IV (each, a "HVA IV Managing Member"). The HVA IV Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The HVA IV Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each HVA IV Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any HVA IV Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,237,711 |
Reported balance
After 2018-05-30 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-05-30 · Sale · Disposed 41,710 · Balance 3,237,711 F1: Following the reported transaction, in which none of the reportable securities owned directly by Hatteras Venture Advisors V, LLC ("HVA V") were sold, 995 shares of the reportable securities are owned directly by HVA V. The securities directly held by HVA V are indirectly held by the individual managing members of HVA V (each, a "Managing Member" and collectively, the "Managing Members"). The Managing Members are John Crumpler, Clay Thorp, Christy Shaffer, Douglas Reed and Robert Ingram. The Managing Members may share voting and dispositive power over the securities directly held by HVA V. Each Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein. F4: Following the reported transaction, 168,754 shares of the reportable securities are owned directly by Hatteras NC. F5: Following the reported transaction, in which none of the reportable securities owned directly by HVP IV were sold, 3,067,962 shares of the reportable securities are owned directly by HVP IV. |
Filing footnotes · ownership attribution and instrument terms
F1: Following the reported transaction, in which none of the reportable securities owned directly by Hatteras Venture Advisors V, LLC ("HVA V") were sold, 995 shares of the reportable securities are owned directly by HVA V. The securities directly held by HVA V are indirectly held by the individual managing members of HVA V (each, a "Managing Member" and collectively, the "Managing Members"). The Managing Members are John Crumpler, Clay Thorp, Christy Shaffer, Douglas Reed and Robert Ingram. The Managing Members may share voting and dispositive power over the securities directly held by HVA V. Each Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein.
F2: Following the reported transaction, 3,067,962 shares of the reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein.
F3: Following the reported transaction, in which none of the reportable securities owned directly by Hatteras NC Fund, LP ("Hatteras NC") were sold, 210,464 shares of the reportable securities are owned directly by Hatteras NC. Hatteras Venture Advisors IV, LLC ("HVA IV") is the general partner of Hatteras NC. The securities directly held by Hatteras NC are indirectly held by the individual managing members of HVA IV (each, a "HVA IV Managing Member"). The HVA IV Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The HVA IV Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each HVA IV Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any HVA IV Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein.
F4: Following the reported transaction, 168,754 shares of the reportable securities are owned directly by Hatteras NC.
F5: Following the reported transaction, in which none of the reportable securities owned directly by HVP IV were sold, 3,067,962 shares of the reportable securities are owned directly by HVP IV.
PhaseBio Pharmaceuticals Inc
Report date October 22, 2018 · Filed October 24, 2018
Jointly reported with Hatteras Venture Advisors III, LLC, Hatteras Ventures Partners III LP, Hatteras Venture Affiliates III Lp, Hatteras Venture Partners I, LP, Catalysta Ventures, LLC, Venture Capital Multiplier Fund, INGRAM ROBERT ALEXANDER, LEE KENNETH B JR, Reed Douglas MD
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Hatteras Venture Partners I, LP | 52,690 |
Reported balance
After 2018-10-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-10-22 · Conversion · Acquired 52,690 · Balance 52,690 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F2: Catalysta Ventures, LLC ("Catalysta") is under common control with Hatteras Venture Advisors III, LLC ("HVA III"). Catalysta is the general partner of Hatteras Venture Partners I, LP ("HVP I"). The securities held directly by HVP I are indirectly held by Catalysta, which may be deemed to share voting and dispositive power with regard to the securities directly held by HVP I. Catalysta disclaims beneficial ownership of the securities held by HVP I except to the extent of its pecuniary interest therein. The individual managers of Catalysta are Clay B. Thorp and John Crumpler (the "Managers"), who may be deemed to share voting and dispositive power with regard to the securities held directly by Catalysta and HVP I. The Managers disclaim beneficial ownership of the securities held by Catalysta and HVP I except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Common StockSEC Table I · non-derivative | IndirectBy Hatteras Venture Partners III, LP | 1,820,933 |
Last balance in matching sequence
After 2018-10-22 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2018-10-22 · Conversion · Acquired 1,683,420 · Balance 1,683,420 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. Row 3 · 2018-10-22 · Purchase · Acquired 137,513 · Balance 1,820,933 F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Common StockSEC Table I · non-derivative | IndirectBy Hatteras Venture Affiliates III, LP | 163,099 |
Last balance in matching sequence
After 2018-10-22 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 4 · 2018-10-22 · Conversion · Acquired 150,612 · Balance 150,612 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. Row 5 · 2018-10-22 · Purchase · Acquired 12,487 · Balance 163,099 F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Common StockSEC Table I · non-derivative | IndirectBy Catalysta Ventures, LLC | 4,846 |
Reported balance
After 2018-10-22 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2018-10-22 · Conversion · Acquired 4,846 · Balance 4,846 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F2: Catalysta Ventures, LLC ("Catalysta") is under common control with Hatteras Venture Advisors III, LLC ("HVA III"). Catalysta is the general partner of Hatteras Venture Partners I, LP ("HVP I"). The securities held directly by HVP I are indirectly held by Catalysta, which may be deemed to share voting and dispositive power with regard to the securities directly held by HVP I. Catalysta disclaims beneficial ownership of the securities held by HVP I except to the extent of its pecuniary interest therein. The individual managers of Catalysta are Clay B. Thorp and John Crumpler (the "Managers"), who may be deemed to share voting and dispositive power with regard to the securities held directly by Catalysta and HVP I. The Managers disclaim beneficial ownership of the securities held by Catalysta and HVP I except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Common StockSEC Table I · non-derivative | IndirectBy Venture Capital Multiplier Fund | 416,481 |
Last balance in matching sequence
After 2018-10-22 transaction · row 8
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 7 · 2018-10-22 · Conversion · Acquired 266,481 · Balance 266,481 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. Row 8 · 2018-10-22 · Purchase · Acquired 150,000 · Balance 416,481 F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Warrants to Purchase Series B Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.12 | IndirectBy Hatteras Venture Partners III, LP | 0 |
Reported balance
After 2018-10-22 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2018-10-22 · Other · Disposed 19,061 · Balance 0 F4: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F5: The warrants were exercisable until, and were scheduled to expire upon, the closing of the Issuer's initial public offering. F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Partners III, LP | 1,045,222 |
Reported balance
After 2018-10-22 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2018-10-22 · Other · Acquired 19,061 · Balance 1,045,222 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F4: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Partners III, LP | 1,044,764 |
Reported balance
After 2018-10-22 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2018-10-22 · Sale · Disposed 458 · Balance 1,044,764 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F4: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Partners III, LP | 0 |
Reported balance
After 2018-10-22 transaction · row 30
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 30 · 2018-10-22 · Conversion · Disposed 1,044,764 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Warrants to Purchase Series B Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.12 | IndirectBy Hatteras Venture Affiliates III, LP | 0 |
Reported balance
After 2018-10-22 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2018-10-22 · Other · Disposed 1,731 · Balance 0 F4: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F5: The warrants were exercisable until, and were scheduled to expire upon, the closing of the Issuer's initial public offering. F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Affiliates III, LP | 94,916 |
Reported balance
After 2018-10-22 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2018-10-22 · Other · Acquired 1,731 · Balance 94,916 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F4: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Affiliates III, LP | 94,874 |
Reported balance
After 2018-10-22 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2018-10-22 · Sale · Disposed 42 · Balance 94,874 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F4: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Affiliates III, LP | 0 |
Reported balance
After 2018-10-22 transaction · row 31
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 31 · 2018-10-22 · Conversion · Disposed 94,874 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Warrants to Purchase Series C-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.12 | IndirectBy Hatteras Venture Partners III, LP | 0 |
Reported balance
After 2018-10-22 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2018-10-22 · Other · Disposed 47,458 · Balance 0 F4: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F5: The warrants were exercisable until, and were scheduled to expire upon, the closing of the Issuer's initial public offering. F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Partners III, LP | 150,459 |
Reported balance
After 2018-10-22 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2018-10-22 · Other · Acquired 47,458 · Balance 150,459 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F4: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Partners III, LP | 149,320 |
Reported balance
After 2018-10-22 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2018-10-22 · Sale · Disposed 1,139 · Balance 149,320 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F4: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Partners III, LP | 0 |
Reported balance
After 2018-10-22 transaction · row 32
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 32 · 2018-10-22 · Conversion · Disposed 149,320 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Warrants to Purchase Series C-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.12 | IndirectBy Hatteras Venture Affiliates III, LP | 0 |
Reported balance
After 2018-10-22 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2018-10-22 · Other · Disposed 4,309 · Balance 0 F4: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F5: The warrants were exercisable until, and were scheduled to expire upon, the closing of the Issuer's initial public offering. F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Affiliates III, LP | 13,662 |
Reported balance
After 2018-10-22 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2018-10-22 · Other · Acquired 4,309 · Balance 13,662 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F4: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Affiliates III, LP | 13,558 |
Reported balance
After 2018-10-22 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2018-10-22 · Sale · Disposed 104 · Balance 13,558 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F4: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Affiliates III, LP | 0 |
Reported balance
After 2018-10-22 transaction · row 33
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 33 · 2018-10-22 · Conversion · Disposed 13,558 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Warrants to Purchase Series C-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.12 | IndirectBy Venture Capital Multiplier Fund | 0 |
Reported balance
After 2018-10-22 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2018-10-22 · Other · Disposed 41,414 · Balance 0 F4: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F5: The warrants were exercisable until, and were scheduled to expire upon, the closing of the Issuer's initial public offering. F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Venture Capital Multiplier Fund | 41,414 |
Reported balance
After 2018-10-22 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2018-10-22 · Other · Acquired 41,414 · Balance 41,414 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F4: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Venture Capital Multiplier Fund | 40,420 |
Reported balance
After 2018-10-22 transaction · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · 2018-10-22 · Sale · Disposed 994 · Balance 40,420 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F4: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Venture Capital Multiplier Fund | 0 |
Reported balance
After 2018-10-22 transaction · row 34
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 34 · 2018-10-22 · Conversion · Disposed 40,420 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series 1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Partners I, LP | 0 |
Reported balance
After 2018-10-22 transaction · row 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · 2018-10-22 · Conversion · Disposed 52,690 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F2: Catalysta Ventures, LLC ("Catalysta") is under common control with Hatteras Venture Advisors III, LLC ("HVA III"). Catalysta is the general partner of Hatteras Venture Partners I, LP ("HVP I"). The securities held directly by HVP I are indirectly held by Catalysta, which may be deemed to share voting and dispositive power with regard to the securities directly held by HVP I. Catalysta disclaims beneficial ownership of the securities held by HVP I except to the extent of its pecuniary interest therein. The individual managers of Catalysta are Clay B. Thorp and John Crumpler (the "Managers"), who may be deemed to share voting and dispositive power with regard to the securities held directly by Catalysta and HVP I. The Managers disclaim beneficial ownership of the securities held by Catalysta and HVP I except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series 1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Partners III, LP | 0 |
Reported balance
After 2018-10-22 transaction · row 25
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 25 · 2018-10-22 · Conversion · Disposed 42,530 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series 1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Affiliates III, LP | 0 |
Reported balance
After 2018-10-22 transaction · row 26
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 26 · 2018-10-22 · Conversion · Disposed 3,862 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series 1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Catalysta Ventures, LLC | 0 |
Reported balance
After 2018-10-22 transaction · row 27
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 27 · 2018-10-22 · Conversion · Disposed 4,846 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F2: Catalysta Ventures, LLC ("Catalysta") is under common control with Hatteras Venture Advisors III, LLC ("HVA III"). Catalysta is the general partner of Hatteras Venture Partners I, LP ("HVP I"). The securities held directly by HVP I are indirectly held by Catalysta, which may be deemed to share voting and dispositive power with regard to the securities directly held by HVP I. Catalysta disclaims beneficial ownership of the securities held by HVP I except to the extent of its pecuniary interest therein. The individual managers of Catalysta are Clay B. Thorp and John Crumpler (the "Managers"), who may be deemed to share voting and dispositive power with regard to the securities held directly by Catalysta and HVP I. The Managers disclaim beneficial ownership of the securities held by Catalysta and HVP I except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series AA Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Partners III, LP | 0 |
Reported balance
After 2018-10-22 transaction · row 28
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 28 · 2018-10-22 · Conversion · Disposed 174,699 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series AA Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Affiliates III, LP | 0 |
Reported balance
After 2018-10-22 transaction · row 29
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 29 · 2018-10-22 · Conversion · Disposed 13,609 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series D Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Partners III, LP | 0 |
Reported balance
After 2018-10-22 transaction · row 35
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 35 · 2018-10-22 · Conversion · Disposed 272,107 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series D Preferred StockSEC Table II · derivative / convertible security | IndirectBy Hatteras Venture Affiliates III, LP | 0 |
Reported balance
After 2018-10-22 transaction · row 36
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 36 · 2018-10-22 · Conversion · Disposed 24,709 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
| Series D Preferred StockSEC Table II · derivative / convertible security | IndirectBy Venture Capital Multiplier Fund | 0 |
Reported balance
After 2018-10-22 transaction · row 37
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 37 · 2018-10-22 · Conversion · Disposed 226,061 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date.
F2: Catalysta Ventures, LLC ("Catalysta") is under common control with Hatteras Venture Advisors III, LLC ("HVA III"). Catalysta is the general partner of Hatteras Venture Partners I, LP ("HVP I"). The securities held directly by HVP I are indirectly held by Catalysta, which may be deemed to share voting and dispositive power with regard to the securities directly held by HVP I. Catalysta disclaims beneficial ownership of the securities held by HVP I except to the extent of its pecuniary interest therein. The individual managers of Catalysta are Clay B. Thorp and John Crumpler (the "Managers"), who may be deemed to share voting and dispositive power with regard to the securities held directly by Catalysta and HVP I. The Managers disclaim beneficial ownership of the securities held by Catalysta and HVP I except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately.
F3: HVA III is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately.
F4: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering.
F5: The warrants were exercisable until, and were scheduled to expire upon, the closing of the Issuer's initial public offering.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Clearside Biomedical, Inc.
Report date January 17, 2017 · Filed January 19, 2017
Jointly reported with Hatteras Venture Advisors IV SBIC, LLC, Hatteras Venture Partners IV SBIC, LP, INGRAM ROBERT ALEXANDER, LEE KENNETH B JR, Reed Douglas MD, Thorp Clay
Section 16 reporting ended · disclosed 2017-01-19. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,060,514 |
Last balance in matching sequence
After 2017-01-19 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2017-01-17 · Sale · Disposed 9,806 · Balance 2,080,364 F1: This transaction was executed in multiple trades at prices ranging from $8.68 to $9.22. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. F2: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC is the general partner of HVP IV (the "GP"). The securities directly held by HVP IV are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. Row 2 · 2017-01-18 · Sale · Disposed 12,258 · Balance 2,068,106 F3: This transaction was executed in multiple trades at prices ranging from $8.42 to $8.79. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. F2: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC is the general partner of HVP IV (the "GP"). The securities directly held by HVP IV are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. Row 3 · 2017-01-19 · Sale · Disposed 7,592 · Balance 2,060,514 F4: This transaction was executed in multiple trades at prices ranging from $8.01 to $8.65. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. F2: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC is the general partner of HVP IV (the "GP"). The securities directly held by HVP IV are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $8.68 to $9.22. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.
F2: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC is the general partner of HVP IV (the "GP"). The securities directly held by HVP IV are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein.
F3: This transaction was executed in multiple trades at prices ranging from $8.42 to $8.79. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.
F4: This transaction was executed in multiple trades at prices ranging from $8.01 to $8.65. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.
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 |
|---|---|---|---|---|---|---|
| May 22, 2017 Filed May 24, 2017 20:18 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | ConversionSeries B Preferred Stock · Derivative | 2,584,959 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-035173 · doc4.xml · derivative · entry 7 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner Crumpler John · CIK 0001674107 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 861,651 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F1 · price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F6 · derivative.exercise_date: The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F6 · derivative.expiration_date: The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. F4 · ownership.nature: The reportable securities are owned directly by L2 Ventures, LLC ("L2 Ventures"). Hatteras Venture Advisors V, LLC ("HVA V") is the general partner of L2 Ventures. The securities directly held by L2 Ventures are indirectly held by the individual managing members of HVA V (each, a "L2 Managing Member" and collectively, the "L2 Managing Members"). The L2 Managing Members are John Crumpler, Clay Thorp, Christy Shaffer, Douglas Reed and Robert Ingram. The L2 Managing Members may share voting and dispositive power over the securities directly held by HVA V. Each L2 Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any L2 Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. F8 · ownership.nature: Includes shares of Series B Preferred Stock convertible into 804,208 shares of the Issuer's common stock held by HVP IV and shares of Series B Preferred Stock convertible into 57,443 shares of the Issuer's common stock held by L2 Ventures, LLC. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:18 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | ConversionSeries A Preferred Stock · Derivative | 6,568,527 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-035173 · doc4.xml · derivative · entry 6 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner Crumpler John · CIK 0001674107 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 2,189,508 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F1 · price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F6 · derivative.exercise_date: The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F6 · derivative.expiration_date: The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. F3 · ownership.nature: The reportable securities are owned directly by Hatteras NC Fund, LP ("Hatteras NC"). Hatteras Venture Advisors IV, LLC ("HVA IV") is the general partner of Hatteras NC Fund, LP. The securities directly held by Hatteras NC are indirectly held by the individual managing members of HVA IV (each, a "HVA IV Managing Member" and collectively, the "HVA IV Managing Members"). The HVA IV Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The HVA IV Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each HVA IV Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any HVA IV Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. F7 · ownership.nature: Includes shares of Series A Preferred Stock convertible into 1,990,276 shares of the Issuer's common stock held by HVP IV and shares of Series A Preferred Stock convertible into 199,232 shares of the Issuer's common stock held by Hatteras NC. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:18 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | ConversionSeries 1 Preferred Stock · Derivative | 1,318,681 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-035173 · doc4.xml · derivative · entry 5 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner Crumpler John · CIK 0001674107 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 439,560 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F1 · price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F6 · derivative.exercise_date: The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F6 · derivative.expiration_date: The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:18 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | PurchaseCommon Stock | 133,333 | $15.00 | $1,999,995.00 |
DisclosureSEC source: 0001209191-17-035173 · doc4.xml · nonDerivative · entry 4 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner Crumpler John · CIK 0001674107 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Partners IV SBIC, LP Disclosed balance after: 3,861,797 F5 · price: Reflects shares Hatteras Venture Partners IV SBIC, LP purchased in the initial public offering at the initial public offering price of $15.00 per share. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:18 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | ConversionCommon Stock | 99,513 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-035173 · doc4.xml · nonDerivative · entry 3 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner Crumpler John · CIK 0001674107 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By L2 Ventures, LLC Disclosed balance after: 99,513 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 Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F4 · ownership.nature: The reportable securities are owned directly by L2 Ventures, LLC ("L2 Ventures"). Hatteras Venture Advisors V, LLC ("HVA V") is the general partner of L2 Ventures. The securities directly held by L2 Ventures are indirectly held by the individual managing members of HVA V (each, a "L2 Managing Member" and collectively, the "L2 Managing Members"). The L2 Managing Members are John Crumpler, Clay Thorp, Christy Shaffer, Douglas Reed and Robert Ingram. The L2 Managing Members may share voting and dispositive power over the securities directly held by HVA V. Each L2 Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any L2 Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:18 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | ConversionCommon Stock | 212,419 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-035173 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner Crumpler John · CIK 0001674107 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras NC Fund, LP Disclosed balance after: 212,419 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 Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F3 · ownership.nature: The reportable securities are owned directly by Hatteras NC Fund, LP ("Hatteras NC"). Hatteras Venture Advisors IV, LLC ("HVA IV") is the general partner of Hatteras NC Fund, LP. The securities directly held by Hatteras NC are indirectly held by the individual managing members of HVA IV (each, a "HVA IV Managing Member" and collectively, the "HVA IV Managing Members"). The HVA IV Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The HVA IV Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each HVA IV Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any HVA IV Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:18 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | ConversionCommon Stock | 3,728,464 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-035173 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner Crumpler John · CIK 0001674107 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Partners IV SBIC, LP Disclosed balance after: 3,728,464 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 Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. Read SEC document |
| January 19, 2017 Filed Jan 19, 2017 19:31 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 7,592 | $8.22 | $62,406.24 |
DisclosureSEC source: 0001578563-17-000004 · primary_doc.xml · nonDerivative · entry 3 Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner · May be part of a 13(d) Group Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner · May be part of a 13(d) Group Crumpler John · CIK 0001674107 · 10% owner · May be part of a 13(d) Group INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner · May be part of a 13(d) Group LEE KENNETH B JR · CIK 0001208570 · 10% owner · May be part of a 13(d) Group Reed Douglas MD · CIK 0001291262 · 10% owner · May be part of a 13(d) Group Thorp Clay · CIK 0001592380 · 10% owner · May be part of a 13(d) Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,060,514 F4 · price: This transaction was executed in multiple trades at prices ranging from $8.01 to $8.65. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC is the general partner of HVP IV (the "GP"). The securities directly held by HVP IV are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. Read SEC document |
| January 19, 2017 Filed Jan 19, 2017 17:53 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 6,478 | $8.22 | $53,249.16 |
DisclosureSEC source: 0001578563-17-000002 · primary_doc.xml · nonDerivative · entry 3 Hatteras Venture Advisors III, LLC · CIK 0001674177 · 10% owner · May be part of a 13(d) Group Hatteras Ventures Partners III LP · CIK 0001390733 · 10% owner · May be part of a 13(d) Group Hatteras Venture Affiliates III Lp · CIK 0001390738 · 10% owner · May be part of a 13(d) Group Crumpler John · CIK 0001674107 · 10% owner · May be part of a 13(d) Group INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner · May be part of a 13(d) Group LEE KENNETH B JR · CIK 0001208570 · 10% owner · May be part of a 13(d) Group Reed Douglas MD · CIK 0001291262 · 10% owner · May be part of a 13(d) Group Thorp Clay · CIK 0001592380 · 10% owner · May be part of a 13(d) Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,757,719 F4 · price: This transaction was executed in multiple trades at prices ranging from $8.01 to $8.65. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners III, LP ("HVP") and Hatteras Venture Affiliates III, LP ("HVA"). Hatteras Venture Advisors III, LLC is the general partner of HVP and HVA (the "GP"). The shares directly held by HVP and HVA are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP and HVA. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. F5 · ownership.nature: HVP holds 1,611,407 shares and HVA holds 146,312 shares of the Issuer's common stock directly. Read SEC document |
| January 18, 2017 Filed Jan 19, 2017 19:31 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 12,258 | $8.64 | $105,909.12 |
DisclosureSEC source: 0001578563-17-000004 · primary_doc.xml · nonDerivative · entry 2 Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner · May be part of a 13(d) Group Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner · May be part of a 13(d) Group Crumpler John · CIK 0001674107 · 10% owner · May be part of a 13(d) Group INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner · May be part of a 13(d) Group LEE KENNETH B JR · CIK 0001208570 · 10% owner · May be part of a 13(d) Group Reed Douglas MD · CIK 0001291262 · 10% owner · May be part of a 13(d) Group Thorp Clay · CIK 0001592380 · 10% owner · May be part of a 13(d) Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,068,106 F3 · price: This transaction was executed in multiple trades at prices ranging from $8.42 to $8.79. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC is the general partner of HVP IV (the "GP"). The securities directly held by HVP IV are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. Read SEC document |
| January 18, 2017 Filed Jan 19, 2017 17:53 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 10,457 | $8.64 | $90,348.48 |
DisclosureSEC source: 0001578563-17-000002 · primary_doc.xml · nonDerivative · entry 2 Hatteras Venture Advisors III, LLC · CIK 0001674177 · 10% owner · May be part of a 13(d) Group Hatteras Ventures Partners III LP · CIK 0001390733 · 10% owner · May be part of a 13(d) Group Hatteras Venture Affiliates III Lp · CIK 0001390738 · 10% owner · May be part of a 13(d) Group Crumpler John · CIK 0001674107 · 10% owner · May be part of a 13(d) Group INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner · May be part of a 13(d) Group LEE KENNETH B JR · CIK 0001208570 · 10% owner · May be part of a 13(d) Group Reed Douglas MD · CIK 0001291262 · 10% owner · May be part of a 13(d) Group Thorp Clay · CIK 0001592380 · 10% owner · May be part of a 13(d) Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,764,197 F3 · price: This transaction was executed in multiple trades at prices ranging from $8.42 to $8.79. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners III, LP ("HVP") and Hatteras Venture Affiliates III, LP ("HVA"). Hatteras Venture Advisors III, LLC is the general partner of HVP and HVA (the "GP"). The shares directly held by HVP and HVA are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP and HVA. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. Read SEC document |
| January 17, 2017 Filed Jan 19, 2017 19:31 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 9,806 | $8.92 | $87,469.52 |
DisclosureSEC source: 0001578563-17-000004 · primary_doc.xml · nonDerivative · entry 1 Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner · May be part of a 13(d) Group Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner · May be part of a 13(d) Group Crumpler John · CIK 0001674107 · 10% owner · May be part of a 13(d) Group INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner · May be part of a 13(d) Group LEE KENNETH B JR · CIK 0001208570 · 10% owner · May be part of a 13(d) Group Reed Douglas MD · CIK 0001291262 · 10% owner · May be part of a 13(d) Group Thorp Clay · CIK 0001592380 · 10% owner · May be part of a 13(d) Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,080,364 F1 · price: This transaction was executed in multiple trades at prices ranging from $8.68 to $9.22. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC is the general partner of HVP IV (the "GP"). The securities directly held by HVP IV are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. Read SEC document |
| January 17, 2017 Filed Jan 19, 2017 17:53 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 8,366 | $8.92 | $74,624.72 |
DisclosureSEC source: 0001578563-17-000002 · primary_doc.xml · nonDerivative · entry 1 Hatteras Venture Advisors III, LLC · CIK 0001674177 · 10% owner · May be part of a 13(d) Group Hatteras Ventures Partners III LP · CIK 0001390733 · 10% owner · May be part of a 13(d) Group Hatteras Venture Affiliates III Lp · CIK 0001390738 · 10% owner · May be part of a 13(d) Group Crumpler John · CIK 0001674107 · 10% owner · May be part of a 13(d) Group INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner · May be part of a 13(d) Group LEE KENNETH B JR · CIK 0001208570 · 10% owner · May be part of a 13(d) Group Reed Douglas MD · CIK 0001291262 · 10% owner · May be part of a 13(d) Group Thorp Clay · CIK 0001592380 · 10% owner · May be part of a 13(d) Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,774,654 F1 · price: This transaction was executed in multiple trades at prices ranging from $8.68 to $9.22. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners III, LP ("HVP") and Hatteras Venture Affiliates III, LP ("HVA"). Hatteras Venture Advisors III, LLC is the general partner of HVP and HVA (the "GP"). The shares directly held by HVP and HVA are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP and HVA. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.