Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARDELYX, INC.ARDX · Entity 4972 | 10% owner | May 25, 2018 | May 30, 2018 |
| AVEO PHARMACEUTICALS, INC.AVEO · Entity 120602 | 10% owner | June 27, 2018 | June 28, 2018 |
| Achaogen, Inc.AKAO · Entity 158957 | 10% owner | December 19, 2016 | December 19, 2016 |
| GENOCEA BIOSCIENCES, INC.GNCA · Entity 12635 | 10% owner | January 19, 2018 | January 23, 2018 |
| Regulus Therapeutics Inc.RGLS · Entity 78034 | 10% owner | July 24, 2017 | July 31, 2017 |
| X4 Pharmaceuticals, IncASNS · Entity 5638 | 10% owner | November 20, 2017 | November 20, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ARDELYX, INC.
Report date May 25, 2018 · Filed May 30, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 3,082,186 |
Reported balance
After 2018-05-25 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2018-05-25 · Grant · Acquired 416,666 · Balance 3,082,186 F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 3,082,186 |
Reported balance
After 2018-05-25 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2018-05-25 · Grant · Acquired 416,667 · Balance 3,082,186 F2: The Reporting Person is a manager of NEA 15 GP which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest.
F2: The Reporting Person is a manager of NEA 15 GP which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest.
AVEO PHARMACEUTICALS, INC.
Report date June 27, 2018 · Filed June 28, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 17,783,722 |
Last balance in matching sequence
After 2018-06-28 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2018-06-27 · Purchase · Acquired 5,295 · Balance 17,596,592 F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Row 2 · 2018-06-28 · Purchase · Acquired 187,130 · Balance 17,783,722 F2: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.15, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (2) to this Form 4. F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.
F2: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.15, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (2) to this Form 4.
Achaogen, Inc.
Report date December 19, 2016 · Filed December 19, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 5,215,128 |
Reported balance
After 2016-12-19 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2016-12-19 · Purchase · Acquired 500,000 · Balance 5,215,128 F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.
GENOCEA BIOSCIENCES, INC.
Report date January 19, 2018 · Filed January 23, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 25,000,000 |
Reported balance
Holding disclosure · report date 2018-01-19 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 25,000,000 F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Warrant to Purchase Common Stock (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.20 · Expires 2023-01-18 | IndirectSee Note1 | Not disclosed |
Reported balance
Holding disclosure · report date 2018-01-19 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
Regulus Therapeutics Inc.
Report date July 24, 2017 · Filed July 31, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 10,989,010 |
Reported balance
Holding disclosure · report date 2017-07-24 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 10,989,010 F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"). NEA 16 is the sole member of Growth Equity Opportunities Fund V, LLC ("GEO V"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO V in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"). NEA 16 is the sole member of Growth Equity Opportunities Fund V, LLC ("GEO V"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO V in which the Reporting Person has no pecuniary interest.
X4 Pharmaceuticals, Inc
Report date November 20, 2017 · Filed November 20, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 2,000,000 |
Reported balance
Holding disclosure · report date 2017-11-20 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,000,000 F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Cascadian Therapeutics, Inc.
Report date March 09, 2018 · Filed March 13, 2018
Section 16 reporting ended · disclosed 2018-03-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 0 |
Reported balance
After 2018-03-09 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2018-03-09 · Other · Disposed 10,882,574 · Balance 0 F1: Shares of Common Stock tendered in the tender offer launched by Valley Acquisition Sub, Inc. on February 8, 2018 pursuant to that certain Agreement and Plan of Merger, dated January 30, 2018, among Seattle Genetics, Inc., Valley Acquisition Sub, Inc., and Cascadian Therapeutics, Inc., to acquire all of the outstanding shares of common stock of Cascadian Therapeutics, Inc., par value $0.001 per share, at a purchase price of $10.00 per share, net to the seller in cash, without interest and less any required withholding taxes. F2: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares of Common Stock tendered in the tender offer launched by Valley Acquisition Sub, Inc. on February 8, 2018 pursuant to that certain Agreement and Plan of Merger, dated January 30, 2018, among Seattle Genetics, Inc., Valley Acquisition Sub, Inc., and Cascadian Therapeutics, Inc., to acquire all of the outstanding shares of common stock of Cascadian Therapeutics, Inc., par value $0.001 per share, at a purchase price of $10.00 per share, net to the seller in cash, without interest and less any required withholding taxes.
F2: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.
Oruka Therapeutics, Inc.
Report date February 26, 2018 · Filed February 27, 2018
Section 16 reporting ended · disclosed 2018-02-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 0 |
Reported balance
After 2018-02-26 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2018-02-26 · Sale · Disposed 1,460,209 · Balance 0 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.475 to $0.625, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. F2: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.475 to $0.625, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.
F2: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.
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 |
|---|---|---|---|---|---|---|
| June 28, 2018 Filed Jun 28, 2018 19:21 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | PurchaseCommon Stock | 187,130 | $2.10 | $392,692.31 |
DisclosureSEC source: 0001209191-18-039966 · doc4.xml · nonDerivative · entry 2 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 17,783,722 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.15, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (2) to this Form 4. F1 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| June 27, 2018 Filed Jun 28, 2018 19:21 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | PurchaseCommon Stock | 5,295 | $2.15 | $11,384.25 |
DisclosureSEC source: 0001209191-18-039966 · doc4.xml · nonDerivative · entry 1 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 17,596,592 F1 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 30, 2018 Filed May 30, 2018 17:11 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | PurchaseCommon Stock | 275 | $2.15 | $591.25 |
DisclosureSEC source: 0001209191-18-034189 · doc4.xml · nonDerivative · entry 1 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 17,591,297 F1 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 25, 2018 Filed May 30, 2018 21:05 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 416,667 | $4.00 | $1,666,668.00 |
DisclosureSEC source: 0001209191-18-034179 · doc4.xml · nonDerivative · entry 2 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 3,082,186 F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 25, 2018 Filed May 30, 2018 21:05 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 416,666 | $4.00 | $1,666,664.00 |
DisclosureSEC source: 0001209191-18-034179 · doc4.xml · nonDerivative · entry 1 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 3,082,186 F1 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 21, 2018 Filed May 21, 2018 17:26 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | PurchaseCommon Stock | 32,200 | $2.14 | $69,059.34 |
DisclosureSEC source: 0001209191-18-031987 · doc4.xml · nonDerivative · entry 3 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 17,591,022 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.13 to $2.15, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (4) to this Form 4. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 18, 2018 Filed May 21, 2018 17:26 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | PurchaseCommon Stock | 20,100 | $2.14 | $42,927.57 |
DisclosureSEC source: 0001209191-18-031987 · doc4.xml · nonDerivative · entry 2 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 17,558,822 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.12 to $2.15, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (3) to this Form 4. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 17, 2018 Filed May 21, 2018 17:26 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | PurchaseCommon Stock | 184,179 | $2.13 | $391,435.63 |
DisclosureSEC source: 0001209191-18-031987 · doc4.xml · nonDerivative · entry 1 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 17,538,722 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.095 to $2.15, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1) to this Form 4. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 08, 2018 Filed May 10, 2018 17:02 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | PurchaseCommon Stock | 70,873 | $2.13 | $151,250.07 |
DisclosureSEC source: 0001209191-18-029302 · doc4.xml · nonDerivative · entry 1 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 17,354,543 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.1101 to $2.15, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1) to this Form 4. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| April 10, 2018 Filed Apr 10, 2018 17:31 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | PurchaseCommon Stock | 203,200 | $2.46 | $499,993.92 |
DisclosureSEC source: 0001209191-18-024539 · doc4.xml · nonDerivative · entry 3 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 17,283,670 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.385 to $2.50, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (4) to this Form 4. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| April 09, 2018 Filed Apr 10, 2018 17:31 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | PurchaseCommon Stock | 32,100 | $2.43 | $78,099.30 |
DisclosureSEC source: 0001209191-18-024539 · doc4.xml · nonDerivative · entry 2 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 17,080,470 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.325 to $2.50, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (3) to this Form 4. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| April 06, 2018 Filed Apr 10, 2018 17:31 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | PurchaseCommon Stock | 685,676 | $2.24 | $1,536,942.75 |
DisclosureSEC source: 0001209191-18-024539 · doc4.xml · nonDerivative · entry 1 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 17,048,370 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.1001 to $2.38, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1) to this Form 4. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 18:08 UTC | Cascadian Therapeutics, Inc. CASC · Entity 168341 | OtherCommon Stock | 10,882,574 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-019375 · doc4.xml · nonDerivative · entry 1 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 0 F1 · price: Shares of Common Stock tendered in the tender offer launched by Valley Acquisition Sub, Inc. on February 8, 2018 pursuant to that certain Agreement and Plan of Merger, dated January 30, 2018, among Seattle Genetics, Inc., Valley Acquisition Sub, Inc., and Cascadian Therapeutics, Inc., to acquire all of the outstanding shares of common stock of Cascadian Therapeutics, Inc., par value $0.001 per share, at a purchase price of $10.00 per share, net to the seller in cash, without interest and less any required withholding taxes. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| February 26, 2018 Filed Feb 27, 2018 21:37 UTC | Oruka Therapeutics, Inc. ABIO · Entity 3781 | SaleCommon Stock | 1,460,209 | $0.50 | $731,272.67 |
DisclosureSEC source: 0001209191-18-013937 · doc4.xml · nonDerivative · entry 1 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 0 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.475 to $0.625, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 16:44 UTC | Cascadian Therapeutics, Inc. CASC · Entity 168341 | ConversionSeries E Preferred Stock · Derivative | 1,818,000 | $0.00 Strike: $3.30 | $0.00 |
DisclosureSEC source: 0001209191-18-012478 · doc4.xml · derivative · entry 2 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 0 Underlying: Common Stock · 1,818,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Each share of the Series E Preferred Stock is convertible into shares of the Issuer's Common Stock (subject to adjustment as provided in the related certificate of designation of preferences) at any time at the option of the holder, and has no expiration date, provided that the holder will be prohibited from converting Series E Preferred Stock into shares of the Issuer's Common Stock if, as a result of such conversion, the holder, together with its affiliates, would own more than 19.99% of the total number of shares of the Issuer's Common Stock then issued and outstanding, which percentage may be changed at the holders' election to any other number less than or equal to 19.99% upon 61 days' notice to the Issuer. F2 · derivative.expiration_date: Each share of the Series E Preferred Stock is convertible into shares of the Issuer's Common Stock (subject to adjustment as provided in the related certificate of designation of preferences) at any time at the option of the holder, and has no expiration date, provided that the holder will be prohibited from converting Series E Preferred Stock into shares of the Issuer's Common Stock if, as a result of such conversion, the holder, together with its affiliates, would own more than 19.99% of the total number of shares of the Issuer's Common Stock then issued and outstanding, which percentage may be changed at the holders' election to any other number less than or equal to 19.99% upon 61 days' notice to the Issuer. F1 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 16:44 UTC | Cascadian Therapeutics, Inc. CASC · Entity 168341 | ConversionCommon Stock | 1,818,000 | $3.30 | $5,999,400.00 |
DisclosureSEC source: 0001209191-18-012478 · doc4.xml · nonDerivative · entry 1 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 10,882,574 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 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| March 28, 2017 Filed Mar 29, 2017 16:11 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | PurchaseCommon Stock | 6,000,000 | $0.50 | $3,000,000.00 |
DisclosureSEC source: 0001209191-17-023492 · doc4.xml · nonDerivative · entry 1 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 16,362,694 F1 · kind: Reports the purchase of shares in the underwritten public offering of common stock of AVEO Pharmaceuticals, Inc. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| December 19, 2016 Filed Dec 19, 2016 16:46 UTC | Achaogen, Inc. AKAO · Entity 158957 | PurchaseCommon Stock | 500,000 | $13.50 | $6,750,000.00 |
DisclosureSEC source: 0001209191-16-155945 · doc4.xml · nonDerivative · entry 1 Sakoda Jon · CIK 0001589961 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 5,215,128 F1 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no 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.