Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALX ONCOLOGY HOLDINGS INCALXO · Entity 6040 | Director · 10% owner | February 02, 2026 | February 04, 2026 |
| IPI Legacy Liquidation CoIMPL · Entity 15659 | 10% owner | April 27, 2021 | April 29, 2021 |
| Ventyx Biosciences, Inc.VTYX · Entity 62843 | 10% owner | June 09, 2022 | June 10, 2022 |
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.
ALX ONCOLOGY HOLDINGS INC
Report date February 02, 2026 · Filed February 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 8,453,038 |
Reported balance
After 2026-02-02 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2026-02-02 · Purchase · Acquired 3,184,713 · Balance 8,453,038 F1: The shares are held of record by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. The reporting person, a director of venBio Global Strategic GP II, Ltd., disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,969,789 |
Reported balance
Holding disclosure · report date 2026-02-02 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,969,789 F2: The shares are held of record by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. The reporting person, a director of venBio Global Strategic GP, Ltd., disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 461,811 |
Reported balance
Holding disclosure · report date 2026-02-02 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 461,811 F3: The shares are held of record by venBio SPV, LLC, which is wholly-owned by venBio Global Strategic Fund, L.P. The reporting person, a managing director of venBio SPV, LLC, disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 113,287 |
Reported balance
Holding disclosure · report date 2026-02-02 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 113,287 F4: The shares are held of record by the Goodman Barinaga Trust for which the reporting person serves as trustee. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 54,083 |
Reported balance
Holding disclosure · report date 2026-02-02 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 54,083 F5: The shares are held of record by Emaldi Corporation for which the reporting person serves as a director. The reporting person disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are held of record by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. The reporting person, a director of venBio Global Strategic GP II, Ltd., disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.
F2: The shares are held of record by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. The reporting person, a director of venBio Global Strategic GP, Ltd., disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.
F3: The shares are held of record by venBio SPV, LLC, which is wholly-owned by venBio Global Strategic Fund, L.P. The reporting person, a managing director of venBio SPV, LLC, disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.
F4: The shares are held of record by the Goodman Barinaga Trust for which the reporting person serves as trustee.
F5: The shares are held of record by Emaldi Corporation for which the reporting person serves as a director. The reporting person disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.
IPI Legacy Liquidation Co
Report date April 27, 2021 · Filed April 29, 2021
Jointly reported with venBio Global Strategic Fund II L.P., venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Adelman Robert J
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,759,791 |
Last balance in matching sequence
After 2021-04-27 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-04-27 · Conversion · Acquired 2,309,791 · Balance 2,309,791 F1: These shares of the issuer's Series D redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's initial public offering ("IPO"), and had no expiration date. F2: These shares of the issuer's Series C-3 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F3: These shares of the issuer's Series C-2 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F4: These shares of the issuer's Series C-1 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F5: This convertible promissory note was issued by the issuer in March 2021 and the outstanding principal and accrued interest automatically converted into the number of shares of the issuer's common stock shown in Column 7 upon the closing of the issuer's IPO at $13.50 per share (90% of the IPO price). F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Row 2 · 2021-04-27 · Purchase · Acquired 450,000 · Balance 2,759,791 F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. |
| Series D Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-04-27 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-04-27 · Conversion · Disposed 5,876,034 · Balance 0 F1: These shares of the issuer's Series D redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's initial public offering ("IPO"), and had no expiration date. F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. |
| Series C-3 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-04-27 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-04-27 · Conversion · Disposed 8,201,930 · Balance 0 F2: These shares of the issuer's Series C-3 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. |
| Series C-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-04-27 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-04-27 · Conversion · Disposed 8,845,942 · Balance 0 F3: These shares of the issuer's Series C-2 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. |
| Series C-1 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-04-27 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-04-27 · Conversion · Disposed 13,233,885 · Balance 0 F4: These shares of the issuer's Series C-1 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. |
| 5% Convertible Note due 2021SEC Table II · derivative / convertible security · Expires 2021-12-31 | Direct | 0 |
Reported balance
After 2021-04-27 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-04-27 · Conversion · Disposed Not disclosed · Balance 0 F5: This convertible promissory note was issued by the issuer in March 2021 and the outstanding principal and accrued interest automatically converted into the number of shares of the issuer's common stock shown in Column 7 upon the closing of the issuer's IPO at $13.50 per share (90% of the IPO price). F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of the issuer's Series D redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's initial public offering ("IPO"), and had no expiration date.
F2: These shares of the issuer's Series C-3 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.
F3: These shares of the issuer's Series C-2 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.
F4: These shares of the issuer's Series C-1 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.
F5: This convertible promissory note was issued by the issuer in March 2021 and the outstanding principal and accrued interest automatically converted into the number of shares of the issuer's common stock shown in Column 7 upon the closing of the issuer's IPO at $13.50 per share (90% of the IPO price).
F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.
Ventyx Biosciences, Inc.
Report date June 09, 2022 · Filed June 10, 2022
Jointly reported with venBio Global Strategic Fund III, L.P., VENBIO GLOBAL STRATEGIC GP III, L.P., VENBIO GLOBAL STRATEGIC GP III, LTD, Adelman Robert J
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.54 · Expires 2032-06-09 | IndirectSee footnote | 13,301 |
Reported balance
After 2022-06-09 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-06-09 · Grant · Acquired 13,301 · Balance 13,301 F1: The shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the date of grant or, (ii) the day prior to the date of the Annual Meeting of the Issuer's stockholders next following the date the option was granted, in each case, subject to the relevant director (Dr. Royston and Dr. Gaster) continuing to be Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through the applicable vesting date. F2: Represents options awarded to Aaron Royston, a director and partner of venBio Global Strategic GP III, Ltd. ("venBio Ltd"), pursuant to the annual equity grant under the Issuer's non-employee director compensation policy. These options are held for the benefit of venBio Global Strategic Fund III, L.P. ("venBio III"). Pursuant to policies of venBio Partners, the manager of venBio III, with respect to director compensation, upon the exercise of these options and sale of the underlying securities, the proceeds will be remitted to venBio III. Dr. Royston disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III except to the extent of his pecuniary interest therein. F4: venBio GP is the sole general partner of venBio III. venBio Ltd. is the sole general partner of venBio GP. Dr. Royston, Robert Adelman and Corey Goodman (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the shares held by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III except to the extent of their pecuniary interest therein. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.54 · Expires 2032-06-09 | IndirectSee footnote | 13,301 |
Reported balance
After 2022-06-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-06-09 · Grant · Acquired 13,301 · Balance 13,301 F1: The shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the date of grant or, (ii) the day prior to the date of the Annual Meeting of the Issuer's stockholders next following the date the option was granted, in each case, subject to the relevant director (Dr. Royston and Dr. Gaster) continuing to be Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through the applicable vesting date. F3: Represents options awarded to Richard Gaster, a partner of venBio Global Strategic GP III, L.P. ("venBio GP"), pursuant to the annual equity grant under the Issuer's non-employee director compensation policy. These options are held for the benefit of venBio III. Pursuant to policies of venBio Partners, the manager of venBio III, with respect to director compensation, upon the exercise of these options and sale of the underlying securities, the proceeds will be remitted to venBio III. Dr. Gaster disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III. F4: venBio GP is the sole general partner of venBio III. venBio Ltd. is the sole general partner of venBio GP. Dr. Royston, Robert Adelman and Corey Goodman (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the shares held by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the date of grant or, (ii) the day prior to the date of the Annual Meeting of the Issuer's stockholders next following the date the option was granted, in each case, subject to the relevant director (Dr. Royston and Dr. Gaster) continuing to be Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through the applicable vesting date.
F2: Represents options awarded to Aaron Royston, a director and partner of venBio Global Strategic GP III, Ltd. ("venBio Ltd"), pursuant to the annual equity grant under the Issuer's non-employee director compensation policy. These options are held for the benefit of venBio Global Strategic Fund III, L.P. ("venBio III"). Pursuant to policies of venBio Partners, the manager of venBio III, with respect to director compensation, upon the exercise of these options and sale of the underlying securities, the proceeds will be remitted to venBio III. Dr. Royston disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III except to the extent of his pecuniary interest therein.
F3: Represents options awarded to Richard Gaster, a partner of venBio Global Strategic GP III, L.P. ("venBio GP"), pursuant to the annual equity grant under the Issuer's non-employee director compensation policy. These options are held for the benefit of venBio III. Pursuant to policies of venBio Partners, the manager of venBio III, with respect to director compensation, upon the exercise of these options and sale of the underlying securities, the proceeds will be remitted to venBio III. Dr. Gaster disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III.
F4: venBio GP is the sole general partner of venBio III. venBio Ltd. is the sole general partner of venBio GP. Dr. Royston, Robert Adelman and Corey Goodman (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the shares held by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III except to the extent of their pecuniary interest therein.
Past disclosures · reporting ended (8)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Akero Therapeutics, Inc.
Report date July 01, 2020 · Filed July 06, 2020
Jointly reported with venBio Global Strategic Fund II L.P., venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Adelman Robert J
Section 16 reporting ended · disclosed 2020-01-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,033,552 |
Last balance in matching sequence
After 2020-07-06 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2020-07-01 · Sale · Disposed 108,064 · Balance 3,041,955 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.50 to $35.20, inclusive. The Reporting Persons undertake 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 herein. F4: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Row 2 · 2020-07-02 · Sale · Disposed 3,800 · Balance 3,038,155 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.50 to $33.79, inclusive. The Reporting Persons undertake 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 herein. F4: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Row 3 · 2020-07-06 · Sale · Disposed 4,603 · Balance 3,033,552 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.50 to $34.07, inclusive. The Reporting Persons undertake 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 herein. F4: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. |
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 $33.50 to $35.20, inclusive. The Reporting Persons undertake 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 herein.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.50 to $33.79, inclusive. The Reporting Persons undertake 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 herein.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.50 to $34.07, inclusive. The Reporting Persons undertake 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 herein.
F4: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein.
Artiva Biotherapeutics, Inc.
Report date July 22, 2024 · Filed July 22, 2024
Jointly reported with venBio Global Strategic Fund III, L.P., VENBIO GLOBAL STRATEGIC GP III, L.P., VENBIO GLOBAL STRATEGIC GP III, LTD, Adelman Robert J
Section 16 reporting ended · disclosed 2024-07-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,936,637 |
Last balance in matching sequence
After 2024-07-22 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2024-07-22 · Conversion · Acquired 843,592 · Balance 843,592 F1: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F2: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein. Row 2 · 2024-07-22 · Conversion · Acquired 214,692 · Balance 1,058,284 F1: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F2: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein. Row 3 · 2024-07-22 · Other · Acquired 461,687 · Balance 1,519,971 F3: Represents the conversion of outstanding simple agreement for future equity in the amount of approximately $4,709,212 into shares of the Issuer's common stock upon closing of the Issuer's IPO at a 15% discount to the $12 IPO price, or $10.20. F2: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein. Row 4 · 2024-07-22 · Purchase · Acquired 416,666 · Balance 1,936,637 F2: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-07-22 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2024-07-22 · Conversion · Disposed 843,592 · Balance 0 F1: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F2: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-07-22 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2024-07-22 · Conversion · Disposed 214,692 · Balance 0 F1: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F2: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date.
F2: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.
F3: Represents the conversion of outstanding simple agreement for future equity in the amount of approximately $4,709,212 into shares of the Issuer's common stock upon closing of the Issuer's IPO at a 15% discount to the $12 IPO price, or $10.20.
Checkmate Pharmaceuticals, Inc.
Report date May 13, 2022 · Filed May 17, 2022
Jointly reported with venBio Global Strategic Fund II L.P., venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Adelman Robert J
Section 16 reporting ended · disclosed 2022-05-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,155,930 |
Last balance in matching sequence
After 2022-05-16 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2022-05-13 · Sale · Disposed 35,850 · Balance 2,251,730 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.43 to $10.45, inclusive. The Reporting Persons undertake 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 herein. F3: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Row 2 · 2022-05-16 · Sale · Disposed 95,800 · Balance 2,155,930 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.44 to $10.45, inclusive. The Reporting Persons undertake 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 herein. F3: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. |
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 $10.43 to $10.45, inclusive. The Reporting Persons undertake 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 herein.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.44 to $10.45, inclusive. The Reporting Persons undertake 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 herein.
F3: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.
Elevation Oncology, Inc.
Report date May 25, 2022 · Filed May 27, 2022
Jointly reported with venBio Global Strategic Fund III, L.P., VENBIO GLOBAL STRATEGIC GP III, L.P., Adelman Robert J, Royston Aaron
Section 16 reporting ended · disclosed 2022-05-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,905,430 |
Reported balance
After 2022-05-25 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-05-25 · Sale · Disposed 702,737 · Balance 1,905,430 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.00 to $4.37, inclusive. The Reporting Persons undertake 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 herein. F2: The shares are held by venBio Global Strategic Fund III, L.P. venBio Global Strategic GP III, L.P. is the sole general partner of venBio Global Strategic Fund III, L.P. and venBio Global Strategic GP III, Ltd. is the sole general partner of venBio Global Strategic GP III, L.P. Each of Corey Goodman, Robert Adelman and Aaron Royston is a director of venBio Global Strategic GP III, Ltd. Each of venBio Global Strategic GP III, L.P., venBio Global Strategic GP III, Ltd, Dr. Goodman, Dr. Adelman and Dr. Royston disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. |
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 $4.00 to $4.37, inclusive. The Reporting Persons undertake 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 herein.
F2: The shares are held by venBio Global Strategic Fund III, L.P. venBio Global Strategic GP III, L.P. is the sole general partner of venBio Global Strategic Fund III, L.P. and venBio Global Strategic GP III, Ltd. is the sole general partner of venBio Global Strategic GP III, L.P. Each of Corey Goodman, Robert Adelman and Aaron Royston is a director of venBio Global Strategic GP III, Ltd. Each of venBio Global Strategic GP III, L.P., venBio Global Strategic GP III, Ltd, Dr. Goodman, Dr. Adelman and Dr. Royston disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.
Metacrine, Inc.
Report date October 22, 2021 · Filed October 26, 2021
Jointly reported with venBio Global Strategic Fund, L.P., venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., Adelman Robert J
Section 16 reporting ended · disclosed 2021-10-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,443,421 |
Last balance in matching sequence
After 2021-10-25 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-10-22 · Sale · Disposed 75,035 · Balance 2,984,088 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.62 to $1.66, inclusive. The Reporting Persons undertake 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 herein. F1: The shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman (collectively, the "Directors") are each a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., and the Directors disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Row 2 · 2021-10-25 · Sale · Disposed 540,667 · Balance 2,443,421 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.42 to $1.59, inclusive. The Reporting Persons undertake 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 herein. F1: The shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman (collectively, the "Directors") are each a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., and the Directors disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman (collectively, the "Directors") are each a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., and the Directors disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.62 to $1.66, inclusive. The Reporting Persons undertake 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 herein.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.42 to $1.59, inclusive. The Reporting Persons undertake 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 herein.
PFIZER INC
Report date April 30, 2009 · Filed May 01, 2009
Section 16 reporting ended · disclosed 2009-05-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock Units SSPSEC Table II · derivative / convertible security | Direct | 3,350 |
Reported balance
After 2009-04-30 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2009-04-30 · Grant · Acquired 102 · Balance 3,350 F1: Each unit represents one phantom share of common stock. F2: These units, which were acquired pursuant to the Pfizer Inc. Nonfunded Deferred Compensation and Supplemental Savings Plan, are settled in cash following the reporting person's separation from service and may be transferred by the reporting person into an alternative investment account at any time. |
Filing footnotes · ownership attribution and instrument terms
F1: Each unit represents one phantom share of common stock.
F2: These units, which were acquired pursuant to the Pfizer Inc. Nonfunded Deferred Compensation and Supplemental Savings Plan, are settled in cash following the reporting person's separation from service and may be transferred by the reporting person into an alternative investment account at any time.
PRECISION BIOSCIENCES INC
Report date April 01, 2019 · Filed April 01, 2019
Jointly reported with venBio Global Strategic Fund, L.P., venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., Adelman Robert J
Section 16 reporting ended · disclosed 2019-04-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 4,265,141 |
Last balance in matching sequence
After 2019-04-01 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2019-04-01 · Purchase · Acquired 50,000 · Balance 50,000 F2: venBio Global Strategic GP, LP is the sole general partner of venBio Global Strategic Fund, LP and venBio Global Strategic GP, Ltd. is the sole general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Row 2 · 2019-04-01 · Conversion · Acquired 3,747,623 · Balance 3,797,623 F1: Each share of the Issuer's preferred stock converted into shares of the Issuer's common stock, $0.000005 par value per share, on a one-for-2.134686 basis upon the closing of the Issuer's initial public offering, after giving effect to the reverse stock split effected by the Issuer in connection with the initial public offering. F2: venBio Global Strategic GP, LP is the sole general partner of venBio Global Strategic Fund, LP and venBio Global Strategic GP, Ltd. is the sole general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Row 3 · 2019-04-01 · Conversion · Acquired 467,518 · Balance 4,265,141 F1: Each share of the Issuer's preferred stock converted into shares of the Issuer's common stock, $0.000005 par value per share, on a one-for-2.134686 basis upon the closing of the Issuer's initial public offering, after giving effect to the reverse stock split effected by the Issuer in connection with the initial public offering. F2: venBio Global Strategic GP, LP is the sole general partner of venBio Global Strategic Fund, LP and venBio Global Strategic GP, Ltd. is the sole general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2019-04-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-04-01 · Conversion · Disposed 8,000,000 · Balance 0 F1: Each share of the Issuer's preferred stock converted into shares of the Issuer's common stock, $0.000005 par value per share, on a one-for-2.134686 basis upon the closing of the Issuer's initial public offering, after giving effect to the reverse stock split effected by the Issuer in connection with the initial public offering. F2: venBio Global Strategic GP, LP is the sole general partner of venBio Global Strategic Fund, LP and venBio Global Strategic GP, Ltd. is the sole general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2019-04-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-04-01 · Conversion · Disposed 998,004 · Balance 0 F1: Each share of the Issuer's preferred stock converted into shares of the Issuer's common stock, $0.000005 par value per share, on a one-for-2.134686 basis upon the closing of the Issuer's initial public offering, after giving effect to the reverse stock split effected by the Issuer in connection with the initial public offering. F2: venBio Global Strategic GP, LP is the sole general partner of venBio Global Strategic Fund, LP and venBio Global Strategic GP, Ltd. is the sole general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the Issuer's preferred stock converted into shares of the Issuer's common stock, $0.000005 par value per share, on a one-for-2.134686 basis upon the closing of the Issuer's initial public offering, after giving effect to the reverse stock split effected by the Issuer in connection with the initial public offering.
F2: venBio Global Strategic GP, LP is the sole general partner of venBio Global Strategic Fund, LP and venBio Global Strategic GP, Ltd. is the sole general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein.
RayzeBio, Inc.
Report date September 19, 2023 · Filed September 21, 2023
Jointly reported with venBio Global Strategic Fund III, L.P., VENBIO GLOBAL STRATEGIC GP III, L.P., VENBIO GLOBAL STRATEGIC GP III, LTD, Adelman Robert J
Section 16 reporting ended · disclosed 2023-09-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,158,162 |
Last balance in matching sequence
After 2023-09-19 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2023-09-19 · Conversion · Acquired 3,786,957 · Balance 3,786,957 F1: Each share of Series A Convertible Preferred Stock (the "Series A Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series A Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series A Preferred Stock had no expiration date. F4: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein. Row 2 · 2023-09-19 · Conversion · Acquired 1,123,862 · Balance 4,910,819 F2: Each share of Series B Convertible Preferred Stock (the "Series B Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series B Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series B Preferred Stock had no expiration date. F4: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein. Row 3 · 2023-09-19 · Conversion · Acquired 247,343 · Balance 5,158,162 F3: Each share of Series C Convertible Preferred Stock (the "Series C Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-1.14443753806379 basis. Upon the closing of the Issuer's initial public offering, the Series C Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series C Preferred Stock had no expiration date. F4: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-09-19 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-09-19 · Conversion · Disposed 3,786,957 · Balance 0 F1: Each share of Series A Convertible Preferred Stock (the "Series A Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series A Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series A Preferred Stock had no expiration date. F4: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-09-19 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-09-19 · Conversion · Disposed 1,123,862 · Balance 0 F2: Each share of Series B Convertible Preferred Stock (the "Series B Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series B Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series B Preferred Stock had no expiration date. F4: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-09-19 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-09-19 · Conversion · Disposed 216,127 · Balance 0 F3: Each share of Series C Convertible Preferred Stock (the "Series C Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-1.14443753806379 basis. Upon the closing of the Issuer's initial public offering, the Series C Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series C Preferred Stock had no expiration date. F4: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A Convertible Preferred Stock (the "Series A Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series A Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series A Preferred Stock had no expiration date.
F2: Each share of Series B Convertible Preferred Stock (the "Series B Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series B Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series B Preferred Stock had no expiration date.
F3: Each share of Series C Convertible Preferred Stock (the "Series C Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-1.14443753806379 basis. Upon the closing of the Issuer's initial public offering, the Series C Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series C Preferred Stock had no expiration date.
F4: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.
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 11, 2021 Filed Jun 15, 2021 22:45 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | GrantStock Option (right to buy) · Derivative | 12,004 | $0.00 Strike: $59.66 | $0.00 |
DisclosureSEC source: 0001209191-21-040722 · doc4.xml · derivative · entry 1 GOODMAN COREY S · CIK 0001278411 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,004 Underlying: Common Stock · 12,004 shares Expires 2031-06-10 F1 · derivative.exercise_date: Shares subject to the option vest in 12 equal monthly installments on the same day of the month as the grant date, or if earlier, the day immediately before the day of the next annual meeting of stockholders. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 18:44 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | Conversion5% Convertible Note due 2021 · Derivative | Not disclosed | $0.00 | $1,359,799.28 |
DisclosureSEC source: 0000905148-21-000408 · form4.xml · derivative · entry 7 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Adelman Robert J · CIK 0001329161 · 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 · 101,457 shares Expires 2021-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: This convertible promissory note was issued by the issuer in March 2021 and the outstanding principal and accrued interest automatically converted into the number of shares of the issuer's common stock shown in Column 7 upon the closing of the issuer's IPO at $13.50 per share (90% of the IPO price). F5 · derivative.exercise_date: This convertible promissory note was issued by the issuer in March 2021 and the outstanding principal and accrued interest automatically converted into the number of shares of the issuer's common stock shown in Column 7 upon the closing of the issuer's IPO at $13.50 per share (90% of the IPO price). F6 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 18:44 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionSeries C-1 Redeemable Convertible Preferred Stock · Derivative | 13,233,885 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-21-000408 · form4.xml · derivative · entry 6 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Adelman Robert J · CIK 0001329161 · 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 · 808,259 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: These shares of the issuer's Series C-1 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F4 · derivative.exercise_date: These shares of the issuer's Series C-1 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F4 · derivative.expiration_date: These shares of the issuer's Series C-1 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F6 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 18:44 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionSeries C-2 Redeemable Convertible Preferred Stock · Derivative | 8,845,942 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-21-000408 · form4.xml · derivative · entry 5 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Adelman Robert J · CIK 0001329161 · 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 · 540,265 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: These shares of the issuer's Series C-2 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F3 · derivative.exercise_date: These shares of the issuer's Series C-2 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F3 · derivative.expiration_date: These shares of the issuer's Series C-2 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F6 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 18:44 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionSeries C-3 Redeemable Convertible Preferred Stock · Derivative | 8,201,930 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-21-000408 · form4.xml · derivative · entry 4 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Adelman Robert J · CIK 0001329161 · 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 · 500,932 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: These shares of the issuer's Series C-3 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F2 · derivative.exercise_date: These shares of the issuer's Series C-3 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F2 · derivative.expiration_date: These shares of the issuer's Series C-3 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F6 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 18:44 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionSeries D Redeemable Convertible Preferred Stock · Derivative | 5,876,034 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-21-000408 · form4.xml · derivative · entry 3 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Adelman Robert J · CIK 0001329161 · 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 · 358,878 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: These shares of the issuer's Series D redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's initial public offering ("IPO"), and had no expiration date. F1 · derivative.exercise_date: These shares of the issuer's Series D redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's initial public offering ("IPO"), and had no expiration date. F1 · derivative.expiration_date: These shares of the issuer's Series D redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's initial public offering ("IPO"), and had no expiration date. F6 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 18:44 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | PurchaseCommon Stock | 450,000 | $15.00 | $6,750,000.00 |
DisclosureSEC source: 0000905148-21-000408 · form4.xml · nonDerivative · entry 2 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,759,791 F6 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 18:44 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionCommon Stock | 2,309,791 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-21-000408 · form4.xml · nonDerivative · entry 1 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,309,791 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: These shares of the issuer's Series D redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's initial public offering ("IPO"), and had no expiration date. F2 · price: These shares of the issuer's Series C-3 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F3 · price: These shares of the issuer's Series C-2 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F4 · price: These shares of the issuer's Series C-1 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date. F5 · price: This convertible promissory note was issued by the issuer in March 2021 and the outstanding principal and accrued interest automatically converted into the number of shares of the issuer's common stock shown in Column 7 upon the closing of the issuer's IPO at $13.50 per share (90% of the IPO price). F6 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| April 22, 2021 Filed Apr 26, 2021 19:11 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | Other5% Convertible Note due 2021 · Derivative | Not disclosed | $0.00 | $1,359,799.28 |
DisclosureSEC source: 0000905148-21-000392 · form4.xml · derivative · entry 1 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Adelman Robert J · CIK 0001329161 · 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 · 101,457 shares Expires 2021-12-31 F1 · derivative.exercise_price: This convertible promissory note was issued by the issuer in March 2021 and the outstanding principal and accrued interest will automatically convert into shares of the issuer's common stock shown in column 7 upon the closing of the issuer's initial public offering (the "IPO") at $13.50 per share (90% of the IPO price). The conversion price became fixed upon pricing of the issuer's IPO on April 22, 2021. F1 · kind: This convertible promissory note was issued by the issuer in March 2021 and the outstanding principal and accrued interest will automatically convert into shares of the issuer's common stock shown in column 7 upon the closing of the issuer's initial public offering (the "IPO") at $13.50 per share (90% of the IPO price). The conversion price became fixed upon pricing of the issuer's IPO on April 22, 2021. F1 · derivative.exercise_date: This convertible promissory note was issued by the issuer in March 2021 and the outstanding principal and accrued interest will automatically convert into shares of the issuer's common stock shown in column 7 upon the closing of the issuer's initial public offering (the "IPO") at $13.50 per share (90% of the IPO price). The conversion price became fixed upon pricing of the issuer's IPO on April 22, 2021. F2 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| September 18, 2020 Filed Sep 22, 2020 17:21 UTC | Metacrine, Inc. MTCR · Entity 115177 | ConversionSeries C Convertible Preferred Stock · Derivative | 396,089 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-20-001037 · form4.xml · derivative · entry 5 venBio Global Strategic Fund, L.P. · CIK 0001504130 · 10% owner · See Remarks venBio Global Strategic GP, L.P. · CIK 0001770834 · 10% owner · See Remarks venBio Global Strategic GP, Ltd. · CIK 0001770835 · 10% owner · See Remarks GOODMAN COREY S · CIK 0001278411 · 10% owner · See Remarks 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 · 396,089 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: Every 5.1 shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Every 5.1 shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Every 5.1 shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F2 · ownership.direct: The shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Corey Goodman is a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd. and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| September 18, 2020 Filed Sep 22, 2020 17:21 UTC | Metacrine, Inc. MTCR · Entity 115177 | ConversionSeries B Convertible Preferred Stock · Derivative | 472,250 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-20-001037 · form4.xml · derivative · entry 4 venBio Global Strategic Fund, L.P. · CIK 0001504130 · 10% owner · See Remarks venBio Global Strategic GP, L.P. · CIK 0001770834 · 10% owner · See Remarks venBio Global Strategic GP, Ltd. · CIK 0001770835 · 10% owner · See Remarks GOODMAN COREY S · CIK 0001278411 · 10% owner · See Remarks 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 · 472,250 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: Every 5.1 shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Every 5.1 shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Every 5.1 shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F2 · ownership.direct: The shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Corey Goodman is a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd. and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| September 18, 2020 Filed Sep 22, 2020 17:21 UTC | Metacrine, Inc. MTCR · Entity 115177 | ConversionSeries A Convertible Preferred Stock · Derivative | 1,960,784 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-20-001037 · form4.xml · derivative · entry 3 venBio Global Strategic Fund, L.P. · CIK 0001504130 · 10% owner · See Remarks venBio Global Strategic GP, L.P. · CIK 0001770834 · 10% owner · See Remarks venBio Global Strategic GP, Ltd. · CIK 0001770835 · 10% owner · See Remarks GOODMAN COREY S · CIK 0001278411 · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,960,784 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: Every 5.1 shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Every 5.1 shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Every 5.1 shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F2 · ownership.direct: The shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Corey Goodman is a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd. and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| September 18, 2020 Filed Sep 22, 2020 17:21 UTC | Metacrine, Inc. MTCR · Entity 115177 | ConversionCommon Stock | 2,829,123 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-20-001037 · form4.xml · nonDerivative · entry 2 venBio Global Strategic Fund, L.P. · CIK 0001504130 · 10% owner · See Remarks venBio Global Strategic GP, L.P. · CIK 0001770834 · 10% owner · See Remarks venBio Global Strategic GP, Ltd. · CIK 0001770835 · 10% owner · See Remarks GOODMAN COREY S · CIK 0001278411 · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,059,123 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: Every 5.1 shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F2 · ownership.direct: The shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Corey Goodman is a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd. and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| September 18, 2020 Filed Sep 22, 2020 17:21 UTC | Metacrine, Inc. MTCR · Entity 115177 | PurchaseCommon Stock | 230,000 | $13.00 | $2,990,000.00 |
DisclosureSEC source: 0000905148-20-001037 · form4.xml · nonDerivative · entry 1 venBio Global Strategic Fund, L.P. · CIK 0001504130 · 10% owner · See Remarks venBio Global Strategic GP, L.P. · CIK 0001770834 · 10% owner · See Remarks venBio Global Strategic GP, Ltd. · CIK 0001770835 · 10% owner · See Remarks GOODMAN COREY S · CIK 0001278411 · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,000 F2 · ownership.direct: The shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Corey Goodman is a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd. and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| August 11, 2020 Filed Aug 12, 2020 21:00 UTC | Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 | ConversionSeries C Preferred Stock · Derivative | 3,644,624 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-20-000880 · form4.xml · derivative · entry 5 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Adelman Robert J · CIK 0001329161 · 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 · 487,438 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A Preferred Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A Preferred Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A Preferred Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| August 11, 2020 Filed Aug 12, 2020 21:00 UTC | Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 | ConversionSeries B Preferred Stock · Derivative | 8,753,350 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-20-000880 · form4.xml · derivative · entry 4 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,314,165 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series B Preferred Stock automatically converted into Common Stock at a rate of 1.12256:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.exercise_date: The Series B Preferred Stock automatically converted into Common Stock at a rate of 1.12256:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.expiration_date: The Series B Preferred Stock automatically converted into Common Stock at a rate of 1.12256:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| August 11, 2020 Filed Aug 12, 2020 21:00 UTC | Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 | ConversionSeries A Preferred Stock · Derivative | 12,500,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-20-000880 · form4.xml · derivative · entry 3 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,671,771 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A Preferred Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A Preferred Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A Preferred Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| August 11, 2020 Filed Aug 12, 2020 21:00 UTC | Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 | PurchaseCommon Stock | 200,000 | $15.00 | $3,000,000.00 |
DisclosureSEC source: 0000905148-20-000880 · form4.xml · nonDerivative · entry 2 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,673,374 F3 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| August 11, 2020 Filed Aug 12, 2020 21:00 UTC | Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 | ConversionCommon Stock | 3,473,374 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-20-000880 · form4.xml · nonDerivative · entry 1 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,473,374 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A Preferred Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · price: The Series B Preferred Stock automatically converted into Common Stock at a rate of 1.12256:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 00:01 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries C Convertible Stock · Derivative | 52,647 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-019911 · doc4.xml · derivative · entry 13 GOODMAN COREY S · CIK 0001278411 · Director · 10% owner · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 52,647 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. F6 · derivative.exercise_price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F6 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F6 · derivative.exercise_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F6 · derivative.expiration_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F11 · ownership.nature: The shares are held of record by Emaldi Corporation for which the reporting person serves as a director. The reporting person disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 00:01 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries B Convertible Stock · Derivative | 15,794 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-019911 · doc4.xml · derivative · entry 12 GOODMAN COREY S · CIK 0001278411 · Director · 10% owner · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 15,794 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F5 · price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F5 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F5 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F9 · ownership.nature: The shares are held of record by the Goodman Barinaga Trust for which the reporting person serves as trustee. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 00:01 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries A Convertible Stock · Derivative | 78,175 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-019911 · doc4.xml · derivative · entry 11 GOODMAN COREY S · CIK 0001278411 · Director · 10% owner · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 78,175 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F9 · ownership.nature: The shares are held of record by the Goodman Barinaga Trust for which the reporting person serves as trustee. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 00:01 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries C Convertible Stock · Derivative | 1,052,950 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-019911 · doc4.xml · derivative · entry 10 GOODMAN COREY S · CIK 0001278411 · Director · 10% owner · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 1,052,950 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. F6 · derivative.exercise_price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F6 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F6 · derivative.exercise_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F6 · derivative.expiration_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F4 · ownership.nature: The shares are held of record by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. The reporting person, a director of venBio Global Strategic GP II, Ltd., disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 00:01 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries B Convertible Stock · Derivative | 490,411 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-019911 · doc4.xml · derivative · entry 9 GOODMAN COREY S · CIK 0001278411 · Director · 10% owner · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 490,411 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F5 · price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F5 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F5 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F4 · ownership.nature: The shares are held of record by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. The reporting person, a director of venBio Global Strategic GP II, Ltd., disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 00:01 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries A Convertible Stock · Derivative | 2,398,588 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-019911 · doc4.xml · derivative · entry 8 GOODMAN COREY S · CIK 0001278411 · Director · 10% owner · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 2,398,588 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F4 · ownership.nature: The shares are held of record by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. The reporting person, a director of venBio Global Strategic GP II, Ltd., disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 00:01 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries A Convertible Stock · Derivative | 3,100,020 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-019911 · doc4.xml · derivative · entry 7 GOODMAN COREY S · CIK 0001278411 · Director · 10% owner · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 3,100,020 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F3 · ownership.nature: The shares are held of record by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. The reporting person, a director of venBio Global Strategic GP, Ltd., disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 00:01 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionCommon Stock | 52,647 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-019911 · doc4.xml · nonDerivative · entry 5 GOODMAN COREY S · CIK 0001278411 · Director · 10% owner · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 54,083 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: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F10 · balance_after: Includes 1,436 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. F11 · ownership.nature: The shares are held of record by Emaldi Corporation for which the reporting person serves as a director. The reporting person disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 00:01 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionCommon Stock | 93,969 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-019911 · doc4.xml · nonDerivative · entry 4 GOODMAN COREY S · CIK 0001278411 · Director · 10% owner · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 113,287 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F5 · price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F8 · balance_after: Includes 19,318 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. F9 · ownership.nature: The shares are held of record by the Goodman Barinaga Trust for which the reporting person serves as trustee. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 00:01 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionCommon Stock | 3,941,949 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-019911 · doc4.xml · nonDerivative · entry 3 GOODMAN COREY S · CIK 0001278411 · Director · 10% owner · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,268,325 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F5 · price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F6 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F7 · balance_after: Includes 476,376 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. F4 · ownership.nature: The shares are held of record by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. The reporting person, a director of venBio Global Strategic GP II, Ltd., disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 00:01 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | PurchaseCommon Stock | 850,000 | $19.00 | $16,150,000.00 |
DisclosureSEC source: 0000899243-20-019911 · doc4.xml · nonDerivative · entry 2 GOODMAN COREY S · CIK 0001278411 · Director · 10% owner · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 850,000 F4 · ownership.nature: The shares are held of record by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. The reporting person, a director of venBio Global Strategic GP II, Ltd., disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 00:01 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionCommon Stock | 3,100,020 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-019911 · doc4.xml · nonDerivative · entry 1 GOODMAN COREY S · CIK 0001278411 · Director · 10% owner · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,969,789 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · balance_after: Includes 869,618 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. F3 · ownership.nature: The shares are held of record by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. The reporting person, a director of venBio Global Strategic GP, Ltd., disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein. Read SEC document |
| July 16, 2020 Filed Jul 17, 2020 23:05 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | GrantStock Option (right to buy) · Derivative | 24,009 | $0.00 Strike: $19.00 | $0.00 |
DisclosureSEC source: 0000899243-20-019578 · doc4.xml · derivative · entry 1 GOODMAN COREY S · CIK 0001278411 · Director · 10% owner · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,009 Underlying: Common Stock · 24,009 shares Expires 2030-07-16 F1 · derivative.exercise_date: Shares subject to the option vest in 36 equal monthly installments beginning on August 16, 2020. Read SEC document |
| July 06, 2020 Filed Jul 6, 2020 19:00 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 4,603 | $33.83 | $155,721.33 |
DisclosureSEC source: 0000905148-20-000773 · form4.xml · nonDerivative · entry 3 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,033,552 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.50 to $34.07, inclusive. The Reporting Persons undertake 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 herein. F4 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| July 02, 2020 Filed Jul 6, 2020 19:00 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 3,800 | $33.63 | $127,805.40 |
DisclosureSEC source: 0000905148-20-000773 · form4.xml · nonDerivative · entry 2 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,038,155 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.50 to $33.79, inclusive. The Reporting Persons undertake 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 herein. F4 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| July 01, 2020 Filed Jul 6, 2020 19:00 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 108,064 | $34.45 | $3,723,010.12 |
DisclosureSEC source: 0000905148-20-000773 · form4.xml · nonDerivative · entry 1 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,041,955 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.50 to $35.20, inclusive. The Reporting Persons undertake 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 herein. F4 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| March 06, 2020 Filed Mar 6, 2020 17:23 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 1,800 | $23.79 | $42,830.82 |
DisclosureSEC source: 0001012975-20-000291 · edgar.xml · nonDerivative · entry 3 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,150,019 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.41 to $24.00, inclusive. The Reporting Persons undertake 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 herein. F4 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| March 05, 2020 Filed Mar 6, 2020 17:23 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 8,500 | $23.53 | $200,010.95 |
DisclosureSEC source: 0001012975-20-000291 · edgar.xml · nonDerivative · entry 2 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,151,819 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.00 to $23.92, inclusive. The Reporting Persons undertake 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 herein. F4 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| March 04, 2020 Filed Mar 6, 2020 17:23 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 35,650 | $23.81 | $848,765.90 |
DisclosureSEC source: 0001012975-20-000291 · edgar.xml · nonDerivative · entry 1 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,160,319 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.86 to $24.12, inclusive. The Reporting Persons undertake 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 herein. F4 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 17:52 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 6,401 | $23.00 | $147,198.68 |
DisclosureSEC source: 0001012975-20-000275 · edgar.xml · nonDerivative · entry 3 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,195,969 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.50 to $23.49, inclusive. The Reporting Persons undertake 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 herein. F4 · balance_after: The number of shares reported in Column 5 has been reduced by 10,000 to correct a clerical error in the Reporting Person's Form 4 filed on February 12, 2020 and February 27, 2020. F5 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 17:52 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 10,297 | $23.06 | $237,459.12 |
DisclosureSEC source: 0001012975-20-000275 · edgar.xml · nonDerivative · entry 2 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,202,370 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.08, inclusive. The Reporting Persons undertake 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 herein. F4 · balance_after: The number of shares reported in Column 5 has been reduced by 10,000 to correct a clerical error in the Reporting Person's Form 4 filed on February 12, 2020 and February 27, 2020. F5 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 17:52 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 5,100 | $21.30 | $108,652.44 |
DisclosureSEC source: 0001012975-20-000275 · edgar.xml · nonDerivative · entry 1 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,212,667 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.00 to $21.90, inclusive. The Reporting Persons undertake 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 herein. F4 · balance_after: The number of shares reported in Column 5 has been reduced by 10,000 to correct a clerical error in the Reporting Person's Form 4 filed on February 12, 2020 and February 27, 2020. F5 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| February 27, 2020 Filed Feb 27, 2020 19:51 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 1,781 | $22.54 | $40,143.74 |
DisclosureSEC source: 0001012975-20-000267 · edgar.xml · nonDerivative · entry 3 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,227,767 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.40 to $22.74, inclusive. The Reporting Persons undertake 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 herein. F4 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| February 26, 2020 Filed Feb 27, 2020 19:51 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 2,523 | $22.44 | $56,615.36 |
DisclosureSEC source: 0001012975-20-000267 · edgar.xml · nonDerivative · entry 2 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,229,548 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.17 to $22.70, inclusive. The Reporting Persons undertake 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 herein. F4 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| February 25, 2020 Filed Feb 27, 2020 19:51 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 1,600 | $23.67 | $37,876.00 |
DisclosureSEC source: 0001012975-20-000267 · edgar.xml · nonDerivative · entry 1 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,232,071 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.64 to $24.17, inclusive. The Reporting Persons undertake 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 herein. F4 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| February 12, 2020 Filed Feb 12, 2020 17:56 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 6 | $27.14 | $162.84 |
DisclosureSEC source: 0001012975-20-000119 · edgar.xml · nonDerivative · entry 3 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,233,671 F3 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| February 11, 2020 Filed Feb 12, 2020 17:56 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 2,184 | $27.05 | $59,068.03 |
DisclosureSEC source: 0001012975-20-000119 · edgar.xml · nonDerivative · entry 2 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,233,677 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.28, inclusive. The Reporting Persons undertake 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 herein. F3 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 17:56 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 7,836 | $27.08 | $212,168.32 |
DisclosureSEC source: 0001012975-20-000119 · edgar.xml · nonDerivative · entry 1 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,225,861 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.18, inclusive. The Reporting Persons undertake 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 herein. F3 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| February 06, 2020 Filed Feb 10, 2020 17:47 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 6,102 | $27.03 | $164,954.76 |
DisclosureSEC source: 0001012975-20-000115 · edgar.xml · nonDerivative · entry 1 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,233,697 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.12, inclusive. The Reporting Persons undertake 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 herein. F2 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| February 05, 2020 Filed Feb 6, 2020 16:06 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 28,608 | $25.99 | $743,547.67 |
DisclosureSEC source: 0001012975-20-000113 · edgar.xml · nonDerivative · entry 2 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,239,799 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.20 to $26.27, inclusive. The Reporting Persons undertake 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 herein. F3 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
| February 04, 2020 Filed Feb 6, 2020 16:06 UTC | Akero Therapeutics, Inc. AKRO · Entity 71984 | SaleCommon Stock | 53,731 | $25.65 | $1,378,178.66 |
DisclosureSEC source: 0001012975-20-000113 · edgar.xml · nonDerivative · entry 1 venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner Adelman Robert J · CIK 0001329161 · 10% owner GOODMAN COREY S · CIK 0001278411 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,268,407 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.00 to $25.96, inclusive. The Reporting Persons undertake 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 herein. F3 · ownership.nature: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.