Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Bionano Genomics, Inc.BNGO · Entity 7831 | 10% owner | August 23, 2018 | August 27, 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.
Bionano Genomics, Inc.
Report date August 23, 2018 · Filed August 27, 2018
Jointly reported with LC Parallel Fund VI, L.P., Rosy Shine Ltd
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy entities affiliated with LC Fund VI, L.P. | 199,653 |
Reported balance
After 2018-08-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-08-23 · Conversion · Acquired 199,653 · Balance 199,653 F1: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F2: The shares are held as follows: 191,667 shares held by LC Fund VI, L.P. ("LC Fund") and 7,986 shares held by LC Parallel Fund VI, L.P. ("Parallel Fund") LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company. |
| Common StockSEC Table I · non-derivative | IndirectBy entities affiliated with LC Fund VI, L.P. | 350,203 |
Reported balance
After 2018-08-23 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-08-23 · Conversion · Acquired 150,550 · Balance 350,203 F1: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F3: The shares are held as follows: 143,533 shares held by LC Fund and 7,017 shares held by Parallel Fund. LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company. |
| Common StockSEC Table I · non-derivative | IndirectBy entities affiliated with LC Fund VI, L.P. | 988,187 |
Reported balance
After 2018-08-23 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2018-08-23 · Conversion · Acquired 637,984 · Balance 988,187 F1: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F4: The shares are held as follows: 91,700 shares held by LC Fund, 540,631 shares held by Parallel Fund and 5,653 shares held by LC Healthcare Fund I, L.P. ("Healthcare Fund"). LC Fund, Parallel Fund and Healthcare Fund are controlled and managed by Legend Capital, a limited liability Chinese company ("Legend Capital"). The Reporting Person is ultimately controlled and managed by Legend Capital. |
| Common StockSEC Table I · non-derivative | IndirectBy LC Healthcare Fund I, L.P. | 1,772,915 |
Reported balance
After 2018-08-23 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2018-08-23 · Conversion · Acquired 784,728 · Balance 1,772,915 F5: Represents the conversion of an outstanding convertible promissory note in the principal amount of $3,460,000, plus $144,846.03 accrued interest, into shares of the Issuer's common stock upon closing of the Issuer's initial public offering at a conversion price of $6.125 per share. |
| Common StockSEC Table I · non-derivative | IndirectBy Rosy Shine Limited | 2,906,915 |
Reported balance
After 2018-08-23 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2018-08-23 · Conversion · Acquired 1,134,000 · Balance 2,906,915 F6: Represents the conversion of an outstanding convertible promissory note in the principal amount of $5,000,000, plus $209,315.07 accrued interest, into shares of the Issuer's common stock upon closing of the Issuer's initial public offering at a conversion price of $6.125 per share. F7: Rosy Shine Limited is ultimately controlled and managed by Legend Holdings, a limited liability Chinese joint stock company listed on a Stock Exchange of Hong Kong (3396), which is controlled by its board of directors. The board of directors of Legend Holdings has sole voting and investment power over the shares held by Rosy Shine Limited. None of the members of the board of directors has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy entities affiliated with LC Fund VI, L.P. | 0 |
Reported balance
After 2018-08-23 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-08-23 · Conversion · Disposed 8,545,184 · Balance 0 F1: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F2: The shares are held as follows: 191,667 shares held by LC Fund VI, L.P. ("LC Fund") and 7,986 shares held by LC Parallel Fund VI, L.P. ("Parallel Fund") LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy entities affiliated with LC Fund VI, L.P. | 0 |
Reported balance
After 2018-08-23 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-08-23 · Conversion · Disposed 6,443,565 · Balance 0 F1: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F3: The shares are held as follows: 143,533 shares held by LC Fund and 7,017 shares held by Parallel Fund. LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company. |
| Series D-1 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy entities affiliated with LC Fund VI, L.P. | 0 |
Reported balance
After 2018-08-23 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-08-23 · Conversion · Disposed 27,305,708 · Balance 0 F1: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F4: The shares are held as follows: 91,700 shares held by LC Fund, 540,631 shares held by Parallel Fund and 5,653 shares held by LC Healthcare Fund I, L.P. ("Healthcare Fund"). LC Fund, Parallel Fund and Healthcare Fund are controlled and managed by Legend Capital, a limited liability Chinese company ("Legend Capital"). The Reporting Person is ultimately controlled and managed by Legend Capital. |
Filing footnotes · ownership attribution and instrument terms
F1: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.
F2: The shares are held as follows: 191,667 shares held by LC Fund VI, L.P. ("LC Fund") and 7,986 shares held by LC Parallel Fund VI, L.P. ("Parallel Fund") LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company.
F3: The shares are held as follows: 143,533 shares held by LC Fund and 7,017 shares held by Parallel Fund. LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company.
F4: The shares are held as follows: 91,700 shares held by LC Fund, 540,631 shares held by Parallel Fund and 5,653 shares held by LC Healthcare Fund I, L.P. ("Healthcare Fund"). LC Fund, Parallel Fund and Healthcare Fund are controlled and managed by Legend Capital, a limited liability Chinese company ("Legend Capital"). The Reporting Person is ultimately controlled and managed by Legend Capital.
F5: Represents the conversion of an outstanding convertible promissory note in the principal amount of $3,460,000, plus $144,846.03 accrued interest, into shares of the Issuer's common stock upon closing of the Issuer's initial public offering at a conversion price of $6.125 per share.
F6: Represents the conversion of an outstanding convertible promissory note in the principal amount of $5,000,000, plus $209,315.07 accrued interest, into shares of the Issuer's common stock upon closing of the Issuer's initial public offering at a conversion price of $6.125 per share.
F7: Rosy Shine Limited is ultimately controlled and managed by Legend Holdings, a limited liability Chinese joint stock company listed on a Stock Exchange of Hong Kong (3396), which is controlled by its board of directors. The board of directors of Legend Holdings has sole voting and investment power over the shares held by Rosy Shine Limited. None of the members of the board of directors has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares.
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 |
|---|---|---|---|---|---|---|
| August 23, 2018 Filed Aug 27, 2018 22:51 UTC | Bionano Genomics, Inc. BNGO · Entity 7831 | ConversionSeries D-1 Convertible Preferred Stock · Derivative | 27,305,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-048557 · doc4.xml · derivative · entry 8 LC Fund VI, L.P. · CIK 0001598248 · 10% owner LC Parallel Fund VI, L.P. · CIK 0001747203 · 10% owner Rosy Shine Ltd · CIK 0001747198 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By entities affiliated with LC Fund VI, L.P. Disclosed balance after: 0 Underlying: Common Stock · 637,984 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F1 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F4 · ownership.nature: The shares are held as follows: 91,700 shares held by LC Fund, 540,631 shares held by Parallel Fund and 5,653 shares held by LC Healthcare Fund I, L.P. ("Healthcare Fund"). LC Fund, Parallel Fund and Healthcare Fund are controlled and managed by Legend Capital, a limited liability Chinese company ("Legend Capital"). The Reporting Person is ultimately controlled and managed by Legend Capital. Read SEC document |
| August 23, 2018 Filed Aug 27, 2018 22:51 UTC | Bionano Genomics, Inc. BNGO · Entity 7831 | ConversionSeries D Convertible Preferred Stock · Derivative | 6,443,565 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-048557 · doc4.xml · derivative · entry 7 LC Fund VI, L.P. · CIK 0001598248 · 10% owner LC Parallel Fund VI, L.P. · CIK 0001747203 · 10% owner Rosy Shine Ltd · CIK 0001747198 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By entities affiliated with LC Fund VI, L.P. Disclosed balance after: 0 Underlying: Common Stock · 150,550 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F1 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F3 · ownership.nature: The shares are held as follows: 143,533 shares held by LC Fund and 7,017 shares held by Parallel Fund. LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company. Read SEC document |
| August 23, 2018 Filed Aug 27, 2018 22:51 UTC | Bionano Genomics, Inc. BNGO · Entity 7831 | ConversionSeries C Convertible Preferred Stock · Derivative | 8,545,184 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-048557 · doc4.xml · derivative · entry 6 LC Fund VI, L.P. · CIK 0001598248 · 10% owner LC Parallel Fund VI, L.P. · CIK 0001747203 · 10% owner Rosy Shine Ltd · CIK 0001747198 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By entities affiliated with LC Fund VI, L.P. Disclosed balance after: 0 Underlying: Common Stock · 199,653 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F1 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F2 · ownership.nature: The shares are held as follows: 191,667 shares held by LC Fund VI, L.P. ("LC Fund") and 7,986 shares held by LC Parallel Fund VI, L.P. ("Parallel Fund") LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company. Read SEC document |
| August 23, 2018 Filed Aug 27, 2018 22:51 UTC | Bionano Genomics, Inc. BNGO · Entity 7831 | ConversionCommon Stock | 1,134,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-048557 · doc4.xml · nonDerivative · entry 5 LC Fund VI, L.P. · CIK 0001598248 · 10% owner LC Parallel Fund VI, L.P. · CIK 0001747203 · 10% owner Rosy Shine Ltd · CIK 0001747198 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Rosy Shine Limited Disclosed balance after: 2,906,915 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · price: Represents the conversion of an outstanding convertible promissory note in the principal amount of $5,000,000, plus $209,315.07 accrued interest, into shares of the Issuer's common stock upon closing of the Issuer's initial public offering at a conversion price of $6.125 per share. F7 · ownership.nature: Rosy Shine Limited is ultimately controlled and managed by Legend Holdings, a limited liability Chinese joint stock company listed on a Stock Exchange of Hong Kong (3396), which is controlled by its board of directors. The board of directors of Legend Holdings has sole voting and investment power over the shares held by Rosy Shine Limited. None of the members of the board of directors has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares. Read SEC document |
| August 23, 2018 Filed Aug 27, 2018 22:51 UTC | Bionano Genomics, Inc. BNGO · Entity 7831 | ConversionCommon Stock | 784,728 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-048557 · doc4.xml · nonDerivative · entry 4 LC Fund VI, L.P. · CIK 0001598248 · 10% owner LC Parallel Fund VI, L.P. · CIK 0001747203 · 10% owner Rosy Shine Ltd · CIK 0001747198 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By LC Healthcare Fund I, L.P. Disclosed balance after: 1,772,915 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: Represents the conversion of an outstanding convertible promissory note in the principal amount of $3,460,000, plus $144,846.03 accrued interest, into shares of the Issuer's common stock upon closing of the Issuer's initial public offering at a conversion price of $6.125 per share. Read SEC document |
| August 23, 2018 Filed Aug 27, 2018 22:51 UTC | Bionano Genomics, Inc. BNGO · Entity 7831 | ConversionCommon Stock | 637,984 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-048557 · doc4.xml · nonDerivative · entry 3 LC Fund VI, L.P. · CIK 0001598248 · 10% owner LC Parallel Fund VI, L.P. · CIK 0001747203 · 10% owner Rosy Shine Ltd · CIK 0001747198 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By entities affiliated with LC Fund VI, L.P. Disclosed balance after: 988,187 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F4 · ownership.nature: The shares are held as follows: 91,700 shares held by LC Fund, 540,631 shares held by Parallel Fund and 5,653 shares held by LC Healthcare Fund I, L.P. ("Healthcare Fund"). LC Fund, Parallel Fund and Healthcare Fund are controlled and managed by Legend Capital, a limited liability Chinese company ("Legend Capital"). The Reporting Person is ultimately controlled and managed by Legend Capital. Read SEC document |
| August 23, 2018 Filed Aug 27, 2018 22:51 UTC | Bionano Genomics, Inc. BNGO · Entity 7831 | ConversionCommon Stock | 150,550 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-048557 · doc4.xml · nonDerivative · entry 2 LC Fund VI, L.P. · CIK 0001598248 · 10% owner LC Parallel Fund VI, L.P. · CIK 0001747203 · 10% owner Rosy Shine Ltd · CIK 0001747198 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By entities affiliated with LC Fund VI, L.P. Disclosed balance after: 350,203 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F3 · ownership.nature: The shares are held as follows: 143,533 shares held by LC Fund and 7,017 shares held by Parallel Fund. LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company. Read SEC document |
| August 23, 2018 Filed Aug 27, 2018 22:51 UTC | Bionano Genomics, Inc. BNGO · Entity 7831 | ConversionCommon Stock | 199,653 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-048557 · doc4.xml · nonDerivative · entry 1 LC Fund VI, L.P. · CIK 0001598248 · 10% owner LC Parallel Fund VI, L.P. · CIK 0001747203 · 10% owner Rosy Shine Ltd · CIK 0001747198 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By entities affiliated with LC Fund VI, L.P. Disclosed balance after: 199,653 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date. F2 · ownership.nature: The shares are held as follows: 191,667 shares held by LC Fund VI, L.P. ("LC Fund") and 7,986 shares held by LC Parallel Fund VI, L.P. ("Parallel Fund") LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company. 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.