organization · Reporting owner

Clarus Ventures II, LLC

Disclosed activity across 2 companies

Tapewire entity: 163523
SEC CIK: 0001431437

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
NanoString Technologies IncNSTG · Entity 15988	10% owner	September 17, 2018	September 19, 2018
Venus Concept Inc.HAIR · Entity 55304	10% owner	October 16, 2017	October 17, 2017

Disclosed balances

About these balances

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

NanoString Technologies Inc

Report date September 17, 2018 · Filed September 19, 2018

Jointly reported with Clarus Lifesciences II, L.P., Clarus Ventures II GP, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	4,036,025	Last balance in matching sequence After 2018-09-17 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2018-09-17 · Other · Acquired 162,408 · Balance 4,121,848 F1: Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus Lifesciences II, L.P. ("Clarus"), may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLP disclaims beneficial ownership of all shares held of record by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLLC disclaims beneficial ownership of all shares held of record by Clarus in which it does not have an actual pecuniary interest. Each of Nicholas Galakatos, a member of the board of directors, and Messrs. Henner, Liptak, Simon and Wheeler, as individual Managing Directors of the GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. F2: Each of Messrs. Galakatos, Henner, Liptak, Simon and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which he does not have an actual pecuniary interest. Row 2 · 2018-09-17 · Sale · Disposed 85,823 · Balance 4,036,025 F3: On September 17, 2018, the Reporting Person exercised warrants to purchase 162,408 shares of the Company's common stock for $8.448 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Company's withholding of 85,823 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 76,585 shares. F4: Pursuant to the terms of a Lock-up Agreement executed by Nicholas Galakatos, a member of the board of directors, in favor of the underwriters of the Company's public offering in July 2018 (the "Lock-up"), the Company withheld the number of shares set forth above pursuant to a net settlement permitted under the terms of the Lock-up. No shares were sold by the Reporting Person in connection with the exercise and the common shares issued as a result of the exercise are subject to the terms of the Lock-up. F1: Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus Lifesciences II, L.P. ("Clarus"), may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLP disclaims beneficial ownership of all shares held of record by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLLC disclaims beneficial ownership of all shares held of record by Clarus in which it does not have an actual pecuniary interest. Each of Nicholas Galakatos, a member of the board of directors, and Messrs. Henner, Liptak, Simon and Wheeler, as individual Managing Directors of the GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. F2: Each of Messrs. Galakatos, Henner, Liptak, Simon and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which he does not have an actual pecuniary interest.
Common Stock Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.45 · Expires 2018-11-01	Direct	0	Reported balance After 2018-09-17 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2018-09-17 · Other · Disposed 162,408 · Balance 0 F1: Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus Lifesciences II, L.P. ("Clarus"), may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLP disclaims beneficial ownership of all shares held of record by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLLC disclaims beneficial ownership of all shares held of record by Clarus in which it does not have an actual pecuniary interest. Each of Nicholas Galakatos, a member of the board of directors, and Messrs. Henner, Liptak, Simon and Wheeler, as individual Managing Directors of the GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. F2: Each of Messrs. Galakatos, Henner, Liptak, Simon and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which he does not have an actual pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus Lifesciences II, L.P. ("Clarus"), may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLP disclaims beneficial ownership of all shares held of record by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLLC disclaims beneficial ownership of all shares held of record by Clarus in which it does not have an actual pecuniary interest. Each of Nicholas Galakatos, a member of the board of directors, and Messrs. Henner, Liptak, Simon and Wheeler, as individual Managing Directors of the GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus.

F2: Each of Messrs. Galakatos, Henner, Liptak, Simon and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which he does not have an actual pecuniary interest.

F3: On September 17, 2018, the Reporting Person exercised warrants to purchase 162,408 shares of the Company's common stock for $8.448 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Company's withholding of 85,823 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 76,585 shares.

F4: Pursuant to the terms of a Lock-up Agreement executed by Nicholas Galakatos, a member of the board of directors, in favor of the underwriters of the Company's public offering in July 2018 (the "Lock-up"), the Company withheld the number of shares set forth above pursuant to a net settlement permitted under the terms of the Lock-up. No shares were sold by the Reporting Person in connection with the exercise and the common shares issued as a result of the exercise are subject to the terms of the Lock-up.

Venus Concept Inc.

Report date October 16, 2017 · Filed October 17, 2017

Jointly reported with Clarus Lifesciences II, L.P., Clarus Ventures II GP, L.P., GALAKATOS NICHOLAS, Simon Nicholas, WHEELER KURT, HENNER DENNIS, LIPTAK ROBERT

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	3,569,986	Last balance in matching sequence After 2017-10-16 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2017-10-16 · Conversion · Acquired 3,389,105 · Balance 3,389,105 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F2: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Row 2 · 2017-10-16 · Conversion · Acquired 180,881 · Balance 3,569,986 F2: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest.
Series C Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2017-10-16 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2017-10-16 · Conversion · Disposed 3,389,105 · Balance 0 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F3: The expiration date is not relevant to the conversion of these securities. F2: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest.
Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $7.00	Direct	0	Reported balance After 2017-10-16 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2017-10-16 · Conversion · Disposed Not disclosed · Balance 0 F4: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F2: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO").

F2: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest.

F3: The expiration date is not relevant to the conversion of these securities.

F4: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO.

Transaction history

JSON API

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

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

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
September 17, 2018 Filed Sep 19, 2018 16:46 UTC	NanoString Technologies Inc NSTG · Entity 15988	OtherCommon Stock Warrant (Right to Buy) · Derivative	162,408	$0.00 Strike: $8.45	$0.00	Disclosure SEC source: 0001401708-18-000122 · wf-form4_153738995447289.xml · derivative · entry 3 Clarus Lifesciences II, L.P. · CIK 0001431443 · 10% owner Clarus Ventures II GP, L.P. · CIK 0001431439 · 10% owner Clarus Ventures II, LLC · CIK 0001431437 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 162,408 shares Expires 2018-11-01 F1 · derivative.underlying_shares: Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus Lifesciences II, L.P. ("Clarus"), may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLP disclaims beneficial ownership of all shares held of record by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLLC disclaims beneficial ownership of all shares held of record by Clarus in which it does not have an actual pecuniary interest. Each of Nicholas Galakatos, a member of the board of directors, and Messrs. Henner, Liptak, Simon and Wheeler, as individual Managing Directors of the GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. F2 · derivative.underlying_shares: Each of Messrs. Galakatos, Henner, Liptak, Simon and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which he does not have an actual pecuniary interest. Read SEC document
September 17, 2018 Filed Sep 19, 2018 16:46 UTC	NanoString Technologies Inc NSTG · Entity 15988	SaleCommon Stock	85,823	$15.99	$1,372,309.77	Disclosure SEC source: 0001401708-18-000122 · wf-form4_153738995447289.xml · nonDerivative · entry 2 Clarus Lifesciences II, L.P. · CIK 0001431443 · 10% owner Clarus Ventures II GP, L.P. · CIK 0001431439 · 10% owner Clarus Ventures II, LLC · CIK 0001431437 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,036,025 F3 · kind: On September 17, 2018, the Reporting Person exercised warrants to purchase 162,408 shares of the Company's common stock for $8.448 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Company's withholding of 85,823 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 76,585 shares. F4 · shares: Pursuant to the terms of a Lock-up Agreement executed by Nicholas Galakatos, a member of the board of directors, in favor of the underwriters of the Company's public offering in July 2018 (the "Lock-up"), the Company withheld the number of shares set forth above pursuant to a net settlement permitted under the terms of the Lock-up. No shares were sold by the Reporting Person in connection with the exercise and the common shares issued as a result of the exercise are subject to the terms of the Lock-up. F1 · balance_after: Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus Lifesciences II, L.P. ("Clarus"), may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLP disclaims beneficial ownership of all shares held of record by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLLC disclaims beneficial ownership of all shares held of record by Clarus in which it does not have an actual pecuniary interest. Each of Nicholas Galakatos, a member of the board of directors, and Messrs. Henner, Liptak, Simon and Wheeler, as individual Managing Directors of the GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. F2 · balance_after: Each of Messrs. Galakatos, Henner, Liptak, Simon and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which he does not have an actual pecuniary interest. Read SEC document
September 17, 2018 Filed Sep 19, 2018 16:46 UTC	NanoString Technologies Inc NSTG · Entity 15988	OtherCommon Stock	162,408	$8.45	$1,372,022.78	Disclosure SEC source: 0001401708-18-000122 · wf-form4_153738995447289.xml · nonDerivative · entry 1 Clarus Lifesciences II, L.P. · CIK 0001431443 · 10% owner Clarus Ventures II GP, L.P. · CIK 0001431439 · 10% owner Clarus Ventures II, LLC · CIK 0001431437 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,121,848 F1 · balance_after: Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus Lifesciences II, L.P. ("Clarus"), may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLP disclaims beneficial ownership of all shares held of record by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLLC disclaims beneficial ownership of all shares held of record by Clarus in which it does not have an actual pecuniary interest. Each of Nicholas Galakatos, a member of the board of directors, and Messrs. Henner, Liptak, Simon and Wheeler, as individual Managing Directors of the GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. F2 · balance_after: Each of Messrs. Galakatos, Henner, Liptak, Simon and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which he does not have an actual pecuniary interest. Read SEC document
January 01, 2018 Filed Jan 3, 2018 18:18 UTC	NanoString Technologies Inc NSTG · Entity 15988	GrantCommon Stock · Derivative	10,168	$0.00 Strike: $7.47	$0.00	Disclosure SEC source: 0001401708-18-000009 · wf-form4_151502149917516.xml · derivative · entry 1 Clarus Lifesciences II, L.P. · CIK 0001431443 · 10% owner Clarus Ventures II GP, L.P. · CIK 0001431439 · 10% owner Clarus Ventures II, LLC · CIK 0001431437 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 10,168 Underlying: Common Stock · 10,168 shares Expires 2027-12-31 F1 · derivative.exercise_date: 100% of the shares subject to the Option vest on the one year anniversary of January 1, 2018. The vesting of shares subject to the Option will accelerate in full upon a "change in control" as defined in the 2013 Equity Incentive Plan. F2 · ownership.nature: These shares were awarded to Nicholas Galakatos, a member of the board of directors of the Issuer and an affiliate of the Reporting Persons. In accordance with the internal policies of Clarus Ventures, the options received by Dr. Galakatos must be held for the benefit of Clarus Ventures and its affiliates. F3 · ownership.nature: Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus Lifesciences II, L.P. ("Clarus"), may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLP disclaims beneficial ownership of all shares held of record by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLLC disclaims beneficial ownership of all shares held of record by Clarus in which it does not have an actual pecuniary interest. Each of Nicholas Galakatos, a member of the board of directors, and Messrs. Henner, Liptak, Simon, Steinmetz and Wheeler, as individual Managing Directors of the GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. F4 · ownership.nature: Each of Messrs. Galakatos, Henner, Liptak, Simon, Steinmetz and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which he does not have an actual pecuniary interest. Read SEC document
October 16, 2017 Filed Oct 17, 2017 18:43 UTC	Venus Concept Inc. HAIR · Entity 55304	ConversionConvertible Promissory Note · Derivative	Not disclosed	Not disclosed Strike: $7.00	$1,259,269.79	Disclosure SEC source: 0001140361-17-038920 · doc1.xml · derivative · entry 4 Clarus Lifesciences II, L.P. · CIK 0001431443 · 10% owner Clarus Ventures II GP, L.P. · CIK 0001431439 · 10% owner Clarus Ventures II, LLC · CIK 0001431437 · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner WHEELER KURT · CIK 0001252525 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 180,881 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · reported_value: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F4 · price: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F4 · derivative.exercise_date: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F4 · derivative.expiration_date: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F2 · ownership.direct: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Read SEC document
October 16, 2017 Filed Oct 17, 2017 18:43 UTC	Venus Concept Inc. HAIR · Entity 55304	ConversionSeries C Preferred Stock · Derivative	3,389,105	Not disclosed	Not disclosed	Disclosure SEC source: 0001140361-17-038920 · doc1.xml · derivative · entry 3 Clarus Lifesciences II, L.P. · CIK 0001431443 · 10% owner Clarus Ventures II GP, L.P. · CIK 0001431439 · 10% owner Clarus Ventures II, LLC · CIK 0001431437 · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner WHEELER KURT · CIK 0001252525 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,389,105 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 shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · derivative.exercise_date: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F3 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities. F2 · ownership.direct: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Read SEC document
October 16, 2017 Filed Oct 17, 2017 18:43 UTC	Venus Concept Inc. HAIR · Entity 55304	ConversionCommon Stock	180,881	$7.00	$1,266,167.00	Disclosure SEC source: 0001140361-17-038920 · doc1.xml · nonDerivative · entry 2 Clarus Lifesciences II, L.P. · CIK 0001431443 · 10% owner Clarus Ventures II GP, L.P. · CIK 0001431439 · 10% owner Clarus Ventures II, LLC · CIK 0001431437 · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner WHEELER KURT · CIK 0001252525 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,569,986 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · ownership.direct: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Read SEC document
October 16, 2017 Filed Oct 17, 2017 18:43 UTC	Venus Concept Inc. HAIR · Entity 55304	ConversionCommon Stock	3,389,105	Not disclosed	Not disclosed	Disclosure SEC source: 0001140361-17-038920 · doc1.xml · nonDerivative · entry 1 Clarus Lifesciences II, L.P. · CIK 0001431443 · 10% owner Clarus Ventures II GP, L.P. · CIK 0001431439 · 10% owner Clarus Ventures II, LLC · CIK 0001431437 · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner WHEELER KURT · CIK 0001252525 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,389,105 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 shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F2 · ownership.direct: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Read SEC document
October 11, 2017 Filed Oct 13, 2017 19:04 UTC	Venus Concept Inc. HAIR · Entity 55304	OtherConvertible Promissory Note · Derivative	Not disclosed	$1,259,269.79 Strike: $7.00	$1,259,269.79	Disclosure SEC source: 0001140361-17-038670 · doc1.xml · derivative · entry 1 Clarus Lifesciences II, L.P. · CIK 0001431443 · 10% owner Clarus Ventures II GP, L.P. · CIK 0001431439 · 10% owner Clarus Ventures II, LLC · CIK 0001431437 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner WHEELER KURT · CIK 0001252525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · kind: The securities were originally acquired from the Issuer on September 6, 2017; however, the conversion price was set upon the pricing of the Issuer's Initial Public Offering (the "IPO"). F2 · reported_value: The amount reported represents the principal amount of the Reporting Person's Convertible Promissory Note (the "Note") only. Accrued interest of 5% per year based on the actual number of days outstanding through the conversion date will also convert. F2 · price: The amount reported represents the principal amount of the Reporting Person's Convertible Promissory Note (the "Note") only. Accrued interest of 5% per year based on the actual number of days outstanding through the conversion date will also convert. F3 · derivative.exercise_date: The outstanding principal and accrued interest of the Note automatically converts into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the IPO upon the closing of the IPO; if not so converted, the Note has a maturity date of September 6, 2018, at which time it will automatically convert into shares of the Issuer's capital stock. F3 · derivative.expiration_date: The outstanding principal and accrued interest of the Note automatically converts into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the IPO upon the closing of the IPO; if not so converted, the Note has a maturity date of September 6, 2018, at which time it will automatically convert into shares of the Issuer's capital stock. F3 · derivative.underlying_shares: The outstanding principal and accrued interest of the Note automatically converts into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the IPO upon the closing of the IPO; if not so converted, the Note has a maturity date of September 6, 2018, at which time it will automatically convert into shares of the Issuer's capital stock. F2 · valueOwnedAfter: The amount reported represents the principal amount of the Reporting Person's Convertible Promissory Note (the "Note") only. Accrued interest of 5% per year based on the actual number of days outstanding through the conversion date will also convert. F4 · ownership.direct: The convertible promissory note is directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Read SEC document
January 01, 2017 Filed Jan 4, 2017 20:42 UTC	NanoString Technologies Inc NSTG · Entity 15988	GrantStock Option (Right to Buy) · Derivative	8,611	$0.00 Strike: $22.30	$0.00	Disclosure SEC source: 0001209191-17-001614 · doc4.xml · derivative · entry 1 Clarus Lifesciences II, L.P. · CIK 0001431443 · 10% owner Clarus Ventures II GP, L.P. · CIK 0001431439 · 10% owner Clarus Ventures II, LLC · CIK 0001431437 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 8,611 Underlying: Common Stock · 8,611 shares Expires 2026-12-31 F1 · derivative.exercise_date: 100% of the shares subject to the Option vest on the one year anniversary of January 1, 2017. The vesting of shares subject to the Option will accelerate in full upon a "change in control" as defined in the 2013 Equity Incentive Plan. F2 · ownership.nature: These shares were awarded to Nicholas Galakatos, a member of the board of directors of the Issuer and an affiliate of the Reporting Persons. In accordance with the internal policies of Clarus Ventures, the options received by Dr. Galakatos must be held for the benefit of Clarus Ventures and its affiliates. F3 · ownership.nature: Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus Lifesciences II, L.P. ("Clarus"), may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLP disclaims beneficial ownership of all shares held of record by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLLC disclaims beneficial ownership of all shares held of record by Clarus in which it does not have an actual pecuniary interest. Each of Nicholas Galakatos, a member of the board of directors, and Messrs. Henner, Liptak, Simon, Steinmetz and Wheeler, as individual Managing Directors of the GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. F4 · ownership.nature: Each of Messrs. Galakatos, Henner, Liptak, Simon, Steinmetz and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which he does not have an actual pecuniary interest. 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.