Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| 5:01 Acquisition Corp.FVAM · Entity 144989 | Director · Co-CEO · 10% owner | November 30, 2020 | December 01, 2020 |
| ARVINAS, INC.ARVN · Entity 5355 | 10% owner | September 16, 2019 | September 18, 2019 |
| Artiva Biotherapeutics, Inc.ARTV · Entity 5404 | 10% owner | July 22, 2024 | July 24, 2024 |
| Camp4 Therapeutics CorpCAMP · Entity 1161 | Director | August 27, 2026 | August 31, 2026 |
| IPI Legacy Liquidation CoIMPL · Entity 15659 | 10% owner | April 27, 2021 | April 30, 2021 |
| Latigo Biotherapeutics, Inc.LTGO · Entity 4709 | 10% owner | August 10, 2026 | August 12, 2026 |
| Skye Bioscience, Inc.SKYE · Entity 8098 | Director · 10% owner | September 22, 2026 | September 24, 2026 |
| Vor Biopharma Inc.VOR · Entity 4763 | 10% owner | November 16, 2021 | November 19, 2021 |
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.
5:01 Acquisition Corp.
Report date November 30, 2020 · Filed December 01, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 1,944,068 |
Reported balance
After 2020-11-30 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-11-30 · Other · Disposed 235,932 · Balance 1,944,068 F1: The shares of Class B common stock are convertible into shares of the issuer's Class A common stock on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date. F2: Represents the forfeiture of 235,932 previously reported shares owned by 5:01 Acquisition LLC that were subject to forfeiture in the event the underwriters of the initial public offering of the issuer's securities did not exercise in full their over-allotment option as described in the issuer's registration statement. F3: Consists of shares held by 5:01 Acquisition LLC of which the Reporting Person is a manager. As such, the Reporting Person has voting and investment discretion and may be deemed to have beneficial ownership with respect to the shares held by 5:01 Acquisition LLC. The Reporting Person disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Class B common stock are convertible into shares of the issuer's Class A common stock on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date.
F2: Represents the forfeiture of 235,932 previously reported shares owned by 5:01 Acquisition LLC that were subject to forfeiture in the event the underwriters of the initial public offering of the issuer's securities did not exercise in full their over-allotment option as described in the issuer's registration statement.
F3: Consists of shares held by 5:01 Acquisition LLC of which the Reporting Person is a manager. As such, the Reporting Person has voting and investment discretion and may be deemed to have beneficial ownership with respect to the shares held by 5:01 Acquisition LLC. The Reporting Person disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.
ARVINAS, INC.
Report date September 16, 2019 · Filed September 18, 2019
Jointly reported with 5AM VENTURES III, L.P., 5AM Partners III, LLC, 5AM Co-Investors III, L.P., DIEKMAN JOHN D, ROCKLAGE SCOTT M
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 3,098,567 |
Reported balance
After 2019-09-16 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-09-16 · Other · Disposed 438,694 · Balance 3,098,567 F1: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by 5AM Ventures III, L.P. ("Ventures III") without consideration to its partners. F2: These Securities are held of record by Ventures III. F7: Partners III is the sole general partner of Ventures III and Co-Investors III. Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners III, and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures III and Co-Investors III. Each of Partners III, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 79,856 |
Reported balance
After 2019-09-16 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-09-16 · Other · Disposed 11,306 · Balance 79,856 F3: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by 5AM Co-Investors III, L.P. ("Co-Investors III") without consideration to its partners. F4: These Securities are held of record by Co-Investors III. F7: Partners III is the sole general partner of Ventures III and Co-Investors III. Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners III, and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures III and Co-Investors III. Each of Partners III, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 85,396 |
Reported balance
After 2019-09-16 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-09-16 · Other · Acquired 85,396 · Balance 85,396 F5: Represents a change in the form of ownership of 5AM Partners III, LLC ("Partners III") by virtue of the receipt of shares in the pro-rata in-kind distribution of Common Stock of the Issuer for no consideration by Ventures III and Co-Investors III. F6: These Securities are held of record by Partners III. Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners III, and may be deemed to have shared voting and investment power over the shares beneficially owned by Partners III. Each of Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 17,079 |
Reported balance
After 2019-09-16 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-09-16 · Other · Acquired 17,079 · Balance 17,079 F8: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to John D. Diekman and Susan P. Diekman Trustees Diekman Revocable Trust Dtd 6/30/95 ("Diekman Trust"). F9: These securities are held of record by Diekman Trust. Dr. Diekman is a trustee and beneficiary of the Diekman Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 17,079 |
Reported balance
After 2019-09-16 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2019-09-16 · Other · Acquired 17,079 · Balance 17,079 F10: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to the Schwab Family Trust, Andrew J. Schwab and Catarina N. Schwab, as Trustees of the Schwab Family Trust, dated October 26, 2007 ("Schwab Family Trust"). F11: These securities are held of record by Schwab Family Trust. Mr. Schwab is a trustee and beneficiary of the Schwab Family Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 8,540 |
Reported balance
After 2019-09-16 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2019-09-16 · Other · Acquired 8,540 · Balance 8,540 F12: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to Scott M. Rocklage Revocable Trust dated 10/22/15; Trustees: Scott M. Rocklage and Patty B. Rocklage ("Rocklage Trust"). F13: These securities are held of record by Rocklage Trust. Dr. Rocklage is a trustee and beneficiary of the Rocklage Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 8,540 |
Reported balance
After 2019-09-16 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2019-09-16 · Other · Acquired 8,540 · Balance 8,540 F14: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to MADRock II LLC ("MADRock II"). F15: These securities are held of record by MADRock II. Dr. Rocklage is a manager of MADRock II and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,002 |
Reported balance
After 2019-09-16 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2019-09-16 · Other · Acquired 1,002 · Balance 1,002 F16: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Co-Investor III to Dr. John D. Diekman. F17: These securities are held of record by Dr. John D. Diekman and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by 5AM Ventures III, L.P. ("Ventures III") without consideration to its partners.
F2: These Securities are held of record by Ventures III.
F3: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by 5AM Co-Investors III, L.P. ("Co-Investors III") without consideration to its partners.
F4: These Securities are held of record by Co-Investors III.
F5: Represents a change in the form of ownership of 5AM Partners III, LLC ("Partners III") by virtue of the receipt of shares in the pro-rata in-kind distribution of Common Stock of the Issuer for no consideration by Ventures III and Co-Investors III.
F6: These Securities are held of record by Partners III. Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners III, and may be deemed to have shared voting and investment power over the shares beneficially owned by Partners III. Each of Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein.
F7: Partners III is the sole general partner of Ventures III and Co-Investors III. Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners III, and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures III and Co-Investors III. Each of Partners III, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
F8: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to John D. Diekman and Susan P. Diekman Trustees Diekman Revocable Trust Dtd 6/30/95 ("Diekman Trust").
F9: These securities are held of record by Diekman Trust. Dr. Diekman is a trustee and beneficiary of the Diekman Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.
F10: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to the Schwab Family Trust, Andrew J. Schwab and Catarina N. Schwab, as Trustees of the Schwab Family Trust, dated October 26, 2007 ("Schwab Family Trust").
F11: These securities are held of record by Schwab Family Trust. Mr. Schwab is a trustee and beneficiary of the Schwab Family Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.
F12: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to Scott M. Rocklage Revocable Trust dated 10/22/15; Trustees: Scott M. Rocklage and Patty B. Rocklage ("Rocklage Trust").
F13: These securities are held of record by Rocklage Trust. Dr. Rocklage is a trustee and beneficiary of the Rocklage Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.
F14: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to MADRock II LLC ("MADRock II").
F15: These securities are held of record by MADRock II. Dr. Rocklage is a manager of MADRock II and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.
F16: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Co-Investor III to Dr. John D. Diekman.
F17: These securities are held of record by Dr. John D. Diekman and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.
Artiva Biotherapeutics, Inc.
Report date July 22, 2024 · Filed July 24, 2024
Jointly reported with 5AM Partners VI, LLC, 5AM Ventures VI, L.P., 5AM Opportunities II (GP), LLC, 5AM Opportunities II, L.P., PARMAR KUSH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures VI, L.P. | 1,171,250 |
Last balance in matching sequence
After 2024-07-22 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2024-07-22 · Conversion · Acquired 1,058,284 · 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: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Row 2 · 2024-07-22 · Other · Acquired 112,966 · Balance 1,171,250 F3: Represents the conversion of outstanding simple agreement for future equity in the amount of $1,152,253.93 into shares of the Issuer's common stock upon closing of the Issuer's IPO at a 15% discount to the IPO price. F2: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities II, L.P. | 1,182,054 |
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.
2 source rowsRow 3 · 2024-07-22 · Other · Acquired 348,721 · Balance 348,721 F4: Represents the conversion of outstanding simple agreement for future equity in the amount of $3,556,957.78 into shares of the Issuer's common stock upon closing of the Issuer's IPO at a 15% discount to the IPO price. F5: Shares are held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the general partner of Opportunities II and may be deemed to have sole investment and voting power over the shares held by Opportunities II. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II. Each of Opportunities II GP, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Row 4 · 2024-07-22 · Purchase · Acquired 833,333 · Balance 1,182,054 F5: Shares are held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the general partner of Opportunities II and may be deemed to have sole investment and voting power over the shares held by Opportunities II. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II. Each of Opportunities II GP, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectBy 5AM Ventures VI, L.P. | 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: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy 5AM Ventures VI, L.P. | 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: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective 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: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.
F3: Represents the conversion of outstanding simple agreement for future equity in the amount of $1,152,253.93 into shares of the Issuer's common stock upon closing of the Issuer's IPO at a 15% discount to the IPO price.
F4: Represents the conversion of outstanding simple agreement for future equity in the amount of $3,556,957.78 into shares of the Issuer's common stock upon closing of the Issuer's IPO at a 15% discount to the IPO price.
F5: Shares are held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the general partner of Opportunities II and may be deemed to have sole investment and voting power over the shares held by Opportunities II. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II. Each of Opportunities II GP, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.
Camp4 Therapeutics Corp
Report date August 27, 2026 · Filed August 31, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures VI, L.P. | 2,033,270 |
Reported balance
After 2026-08-27 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-08-27 · Sale · Disposed 400,000 · Balance 2,033,270 F1: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. The Reporting Person is a managing member of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures VII, L.P. | 2,941,176 |
Reported balance
Holding disclosure · report date 2026-08-27 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,941,176 F2: The shares are directly held by 5AM Ventures VII, L.P. ("Ventures VII"). 5AM Partners VII, LLC ("Partners VII") is the sole general partner of Ventures VII. The Reporting Person is a managing member of Partners VII and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VII. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities II, L.P. | 302,770 |
Reported balance
Holding disclosure · report date 2026-08-27 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 302,770 F3: The shares are directly held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the sole general partner of Opportunities II. The Reporting Person is a managing member of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II GP. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. The Reporting Person is a managing member of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
F2: The shares are directly held by 5AM Ventures VII, L.P. ("Ventures VII"). 5AM Partners VII, LLC ("Partners VII") is the sole general partner of Ventures VII. The Reporting Person is a managing member of Partners VII and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VII. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
F3: The shares are directly held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the sole general partner of Opportunities II. The Reporting Person is a managing member of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II GP. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
IPI Legacy Liquidation Co
Report date April 27, 2021 · Filed April 30, 2021
Jointly reported with 5AM Ventures V, L.P., 5AM Partners V, LLC, PARMAR KUSH, ROCKLAGE SCOTT M, 5AM Opportunities I, L.P., 5AM Opportunities I (GP), LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 808,259 |
Reported balance
After 2021-04-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-04-27 · Conversion · Acquired 808,259 · Balance 808,259 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,348,524 |
Reported balance
After 2021-04-27 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-04-27 · Conversion · Acquired 540,265 · Balance 1,348,524 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,849,456 |
Reported balance
After 2021-04-27 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2021-04-27 · Conversion · Acquired 500,932 · Balance 1,849,456 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 2,208,334 |
Reported balance
After 2021-04-27 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2021-04-27 · Conversion · Acquired 358,878 · Balance 2,208,334 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 2,309,791 |
Reported balance
After 2021-04-27 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2021-04-27 · Conversion · Acquired 101,457 · Balance 2,309,791 F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 575,000 |
Reported balance
After 2021-04-27 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2021-04-27 · Purchase · Acquired 575,000 · Balance 575,000 F3: The shares are directly held by 5AM Opportunities I, L.P ("Opportunities LP"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities LP. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities LP. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares held directly by Opportunities LP, except to the extent of its or his pecuniary interest therein. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 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 13,233,885 · Balance 0 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Series C-2 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-04-27 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-04-27 · Conversion · Disposed 8,845,942 · Balance 0 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Series C-3 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-04-27 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2021-04-27 · Conversion · Disposed 8,201,930 · Balance 0 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Series D Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-04-27 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2021-04-27 · Conversion · Disposed 5,876,034 · Balance 0 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| 5% Convertible Note due 2021SEC Table II · derivative / convertible security · Conversion / exercise price $13.50 · Expires 2021-12-31 | IndirectSee Footnote | 0 |
Reported balance
After 2021-04-27 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2021-04-27 · Conversion · Disposed 1,359,799.28 · Balance 0 F4: Represents the principal amount of the Note. F5: The outstanding principal and accrued interest on the convertible promissory note automatically converted into shares of Common Stock upon the closing of the IPO at a conversion price of $13.50 per share. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date.
F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
F3: The shares are directly held by 5AM Opportunities I, L.P ("Opportunities LP"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities LP. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities LP. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares held directly by Opportunities LP, except to the extent of its or his pecuniary interest therein.
F4: Represents the principal amount of the Note.
F5: The outstanding principal and accrued interest on the convertible promissory note automatically converted into shares of Common Stock upon the closing of the IPO at a conversion price of $13.50 per share.
Latigo Biotherapeutics, Inc.
Report date August 10, 2026 · Filed August 12, 2026
Jointly reported with 5AM Ventures VI, L.P., 5AM Partners VI, LLC, 5AM Opportunities II, L.P., 5AM Opportunities II (GP), LLC, PARMAR KUSH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures VI, L.P. | 4,975,543 |
Reported balance
After 2026-08-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-08-10 · Conversion · Acquired 4,975,543 · Balance 4,975,543 F1: Each share of Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a one-for-one basis. The Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock had no expiration date. F2: The securities are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the securities beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities II, L.P. | 2,350,419 |
Reported balance
After 2026-08-10 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2026-08-10 · Conversion · Acquired 2,350,419 · Balance 2,350,419 F1: Each share of Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a one-for-one basis. The Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock had no expiration date. F3: The securities are directly held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the general partner of Opportunities II and may be deemed to have sole investment and voting power over the securities held by Opportunities II. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the securities beneficially owned by Opportunities II. Each of Opportunities II GP, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectBy 5AM Ventures VI, L.P. | 0 |
Reported balance
After 2026-08-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-08-10 · Conversion · Disposed 3,152,305 · Balance 0 F1: Each share of Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a one-for-one basis. The Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock had no expiration date. F2: The securities are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the securities beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. |
| Series A-2 Preferred StockSEC Table II · derivative / convertible security | IndirectBy 5AM Ventures VI, L.P. | 0 |
Reported balance
After 2026-08-10 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-08-10 · Conversion · Disposed 1,823,238 · Balance 0 F1: Each share of Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a one-for-one basis. The Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock had no expiration date. F2: The securities are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the securities beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. |
| Series A-2 Preferred StockSEC Table II · derivative / convertible security | IndirectBy 5AM Opportunities II, L.P. | 0 |
Reported balance
After 2026-08-10 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-08-10 · Conversion · Disposed 866,018 · Balance 0 F1: Each share of Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a one-for-one basis. The Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock had no expiration date. F3: The securities are directly held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the general partner of Opportunities II and may be deemed to have sole investment and voting power over the securities held by Opportunities II. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the securities beneficially owned by Opportunities II. Each of Opportunities II GP, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy 5AM Opportunities II, L.P. | 0 |
Reported balance
After 2026-08-10 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-08-10 · Conversion · Disposed 1,484,401 · Balance 0 F1: Each share of Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a one-for-one basis. The Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock had no expiration date. F3: The securities are directly held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the general partner of Opportunities II and may be deemed to have sole investment and voting power over the securities held by Opportunities II. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the securities beneficially owned by Opportunities II. Each of Opportunities II GP, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a one-for-one basis. The Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock had no expiration date.
F2: The securities are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the securities beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein.
F3: The securities are directly held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the general partner of Opportunities II and may be deemed to have sole investment and voting power over the securities held by Opportunities II. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the securities beneficially owned by Opportunities II. Each of Opportunities II GP, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein.
Skye Bioscience, Inc.
Report date September 22, 2026 · Filed September 24, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures II, L.P. | 0 |
Last balance in matching sequence
After 2026-09-23 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2026-09-22 · Sale · Disposed 27,612 · Balance 114,851 F1: The securities are directly held by 5AM Ventures II, L.P. ("Ventures II"). 5AM Partners II, LLC ("Partners II") is the sole general partner of Ventures II. The Reporting Person is a managing member of Partners II and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures II. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Row 3 · 2026-09-23 · Sale · Disposed 114,851 · Balance 0 F3: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $1.60 to $1.77 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote. F1: The securities are directly held by 5AM Ventures II, L.P. ("Ventures II"). 5AM Partners II, LLC ("Partners II") is the sole general partner of Ventures II. The Reporting Person is a managing member of Partners II and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures II. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Co-Investors II, L.P. | 0 |
Last balance in matching sequence
After 2026-09-23 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2026-09-22 · Sale · Disposed 1,088 · Balance 4,528 F2: The securities are directly held by 5AM Co-Investors II, L.P. ("Co-Investors II"). Partners II is the sole general partner of Co-Investors II. The Reporting Person is a managing member of Partners II and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors II. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Row 4 · 2026-09-23 · Sale · Disposed 4,528 · Balance 0 F3: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $1.60 to $1.77 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote. F2: The securities are directly held by 5AM Co-Investors II, L.P. ("Co-Investors II"). Partners II is the sole general partner of Co-Investors II. The Reporting Person is a managing member of Partners II and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors II. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures VII, L.P. | 981,269 |
Reported balance
Holding disclosure · report date 2026-09-22 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 981,269 F4: The securities are directly held by 5AM Ventures VII, L.P. ("Ventures VII"). 5AM Partners VII, LLC ("Partners VII") is the sole general partner of Ventures VII. The Reporting Person is a managing member of Partners VII and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VII. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by 5AM Ventures II, L.P. ("Ventures II"). 5AM Partners II, LLC ("Partners II") is the sole general partner of Ventures II. The Reporting Person is a managing member of Partners II and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures II. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
F2: The securities are directly held by 5AM Co-Investors II, L.P. ("Co-Investors II"). Partners II is the sole general partner of Co-Investors II. The Reporting Person is a managing member of Partners II and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors II. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
F3: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $1.60 to $1.77 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.
F4: The securities are directly held by 5AM Ventures VII, L.P. ("Ventures VII"). 5AM Partners VII, LLC ("Partners VII") is the sole general partner of Ventures VII. The Reporting Person is a managing member of Partners VII and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VII. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
Vor Biopharma Inc.
Report date November 16, 2021 · Filed November 19, 2021
Jointly reported with 5AM Ventures VI, L.P., 5AM Partners VI, LLC, 5AM Opportunities I, L.P., 5AM Opportunities I (GP), LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 4,595,089 |
Reported balance
After 2021-11-16 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-11-16 · Sale · Disposed 238,870 · Balance 4,595,089 F1: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by Ventures VI, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,766,634 |
Reported balance
After 2021-11-16 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-11-16 · Sale · Disposed 91,836 · Balance 1,766,634 F2: The shares are directly held by 5AM Opportunities I, L.P ("Opportunities LP"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities LP. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities LP. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities LP, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by Ventures VI, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports.
F2: The shares are directly held by 5AM Opportunities I, L.P ("Opportunities LP"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities LP. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities LP. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities LP, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports.
Past disclosures · reporting ended (13)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Akouos, Inc.
Report date November 30, 2022 · Filed December 02, 2022
Jointly reported with 5AM Ventures V, L.P., 5AM Partners V, LLC, 5AM Opportunities I, L.P., 5AM Opportunities I (GP), LLC, ROCKLAGE SCOTT M
Section 16 reporting ended · disclosed 2022-12-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures V, L.P. | 0 |
Reported balance
After 2022-11-30 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-11-30 · Other · Disposed 3,153,333 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for... F2: (cont. from footnote 1)...(i) $12.50 per Share, net to the stockholder in cash, without interest (the "Cash Consideration") and less any applicable tax withholding, plus (ii) one non-tradable contingent value right ("CVR") per Share, which represents the contractual right to receive contingent payments of up to $3.00 per CVR, net to the stockholder in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a Contingent Value Rights Agreement, dated as of November 30, 2022, by and among Parent, Merger Sub, Computershare Inc. and Computershare Trust Company, N.A. F3: Shares are held directly by 5AM Ventures V, L.P. ("Ventures V"). F4: 5AM Partners V, LLC ("Partners V") is the general partner of Ventures V and may be deemed to have sole investment and voting power over the shares held by Ventures V. Each of Andrew Schwab, Dr. Kush Parmar and Dr. Scott Rocklage is a Managing Member of Partners V, and may be deemed to have shared voting and dispositive power over the shares held by Ventures V. Therefore, each of Mr. Schwab, Dr. Parmar, Dr. Rocklage, and Partners V may be deemed to beneficially own the shares held by Ventures V. Each of Mr. Schwab, Dr. Rocklage, and Partners V disclaims beneficial ownership over the shares held by Ventures V except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | Indirect5AM Opportunities I, L.P. | 0 |
Reported balance
After 2022-11-30 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2022-11-30 · Other · Disposed 982,453 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for... F2: (cont. from footnote 1)...(i) $12.50 per Share, net to the stockholder in cash, without interest (the "Cash Consideration") and less any applicable tax withholding, plus (ii) one non-tradable contingent value right ("CVR") per Share, which represents the contractual right to receive contingent payments of up to $3.00 per CVR, net to the stockholder in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a Contingent Value Rights Agreement, dated as of November 30, 2022, by and among Parent, Merger Sub, Computershare Inc. and Computershare Trust Company, N.A. F5: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the general partner of 5AM Opportunities I, L.P. ("Opportunities I") and may be deemed to have sole investment and voting power over the shares held by Opportunities I. Each of Andrew Schwab and Dr. Kush Parmar is a Managing Member of Opportunities GP, and may be deemed to have shared voting and dispositive power over the shares held by Opportunities I. Therefore, each of Mr. Schwab, Dr. Parmar and Opportunities GP may be deemed to beneficially own the shares held by Opportunities I. Each of Mr. Schwab and Opportunities GP disclaims beneficial ownership over the shares held by Opportunities I except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports. F6: Shares are held directly by Opportunities I. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for...
F2: (cont. from footnote 1)...(i) $12.50 per Share, net to the stockholder in cash, without interest (the "Cash Consideration") and less any applicable tax withholding, plus (ii) one non-tradable contingent value right ("CVR") per Share, which represents the contractual right to receive contingent payments of up to $3.00 per CVR, net to the stockholder in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a Contingent Value Rights Agreement, dated as of November 30, 2022, by and among Parent, Merger Sub, Computershare Inc. and Computershare Trust Company, N.A.
F3: Shares are held directly by 5AM Ventures V, L.P. ("Ventures V").
F4: 5AM Partners V, LLC ("Partners V") is the general partner of Ventures V and may be deemed to have sole investment and voting power over the shares held by Ventures V. Each of Andrew Schwab, Dr. Kush Parmar and Dr. Scott Rocklage is a Managing Member of Partners V, and may be deemed to have shared voting and dispositive power over the shares held by Ventures V. Therefore, each of Mr. Schwab, Dr. Parmar, Dr. Rocklage, and Partners V may be deemed to beneficially own the shares held by Ventures V. Each of Mr. Schwab, Dr. Rocklage, and Partners V disclaims beneficial ownership over the shares held by Ventures V except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports.
F5: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the general partner of 5AM Opportunities I, L.P. ("Opportunities I") and may be deemed to have sole investment and voting power over the shares held by Opportunities I. Each of Andrew Schwab and Dr. Kush Parmar is a Managing Member of Opportunities GP, and may be deemed to have shared voting and dispositive power over the shares held by Opportunities I. Therefore, each of Mr. Schwab, Dr. Parmar and Opportunities GP may be deemed to beneficially own the shares held by Opportunities I. Each of Mr. Schwab and Opportunities GP disclaims beneficial ownership over the shares held by Opportunities I except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports.
F6: Shares are held directly by Opportunities I.
Aprea Therapeutics, Inc.
Report date October 05, 2020 · Filed October 08, 2020
Jointly reported with 5AM Ventures IV, L.P., 5AM Co-Investors IV, L.P., 5AM Partners IV, LLC, 5AM Opportunities I, L.P., 5AM Opportunities I (GP), LLC, DIEKMAN JOHN D, PARMAR KUSH, ROCKLAGE SCOTT M
Section 16 reporting ended · disclosed 2020-10-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 138,497 |
Reported balance
After 2020-10-05 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2020-10-05 · Sale · Disposed 175,000 · Balance 138,497 F1: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4. F2: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,823,192 |
Reported balance
Holding disclosure · report date 2020-10-05 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,823,192 F3: Shares are held directly by 5AM Ventures IV, L.P. F4: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 75,965 |
Reported balance
Holding disclosure · report date 2020-10-05 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 75,965 F5: Shares are held directly by 5AM Co-Investors IV, L.P. F4: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4.
F2: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein.
F3: Shares are held directly by 5AM Ventures IV, L.P.
F4: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein.
F5: Shares are held directly by 5AM Co-Investors IV, L.P.
Audentes Therapeutics, Inc.
Report date April 24, 2017 · Filed April 26, 2017
Jointly reported with 5AM Partners III, LLC, 5AM Co-Investors III, L.P., 5AM VENTURES III, L.P., DIEKMAN JOHN D, ROCKLAGE SCOTT M
Section 16 reporting ended · disclosed 2017-04-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Co-Investors III, L.P. | 64,431 |
Reported balance
After 2017-04-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-04-24 · Purchase · Acquired 4,331 · Balance 64,431 F1: 5AM Partners III, LLC is the general partner of 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. John Diekman, Andrew Schwab and Dr. Scott Rocklage are the managing members of 5AM Partners III. 5AM Partners III, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. Diekman, Mr. Schwab and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Each of 5AM Partners III, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares, except to the extent of its pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures III, L.P. | 2,500,113 |
Reported balance
After 2017-04-24 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2017-04-24 · Purchase · Acquired 168,082 · Balance 2,500,113 F1: 5AM Partners III, LLC is the general partner of 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. John Diekman, Andrew Schwab and Dr. Scott Rocklage are the managing members of 5AM Partners III. 5AM Partners III, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. Diekman, Mr. Schwab and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Each of 5AM Partners III, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares, except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: 5AM Partners III, LLC is the general partner of 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. John Diekman, Andrew Schwab and Dr. Scott Rocklage are the managing members of 5AM Partners III. 5AM Partners III, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. Diekman, Mr. Schwab and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Each of 5AM Partners III, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares, except to the extent of its pecuniary interest therein.
Cabaletta Bio, Inc.
Report date November 01, 2021 · Filed November 03, 2021
Jointly reported with 5AM Ventures V, L.P., 5AM Opportunities I (GP), LLC, 5AM Opportunities I, L.P., 5AM Partners V, LLC, PARMAR KUSH, ROCKLAGE SCOTT M
Section 16 reporting ended · disclosed 2021-11-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,731,119 |
Reported balance
After 2021-11-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-11-01 · Sale · Disposed 258,456 · Balance 1,731,119 F1: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock held by 5AM V, except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 333,144 |
Reported balance
After 2021-11-01 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-11-01 · Sale · Disposed 36,544 · Balance 333,144 F2: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock held by 5AM V, except to the extent of its or his pecuniary interest therein.
F2: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein.
CinCor Pharma, Inc.
Report date February 24, 2023 · Filed February 28, 2023
Jointly reported with 5AM Partners VI, LLC, 5AM Ventures VI, L.P., 5AM Opportunities I, L.P., PARMAR KUSH, 5AM Opportunities II (GP), LLC, 5AM Opportunities II, L.P., 5AM Opportunities I (GP), LLC
Section 16 reporting ended · disclosed 2023-02-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures VI, L.P. | 0 |
Reported balance
After 2023-02-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-02-24 · Other · Disposed 3,953,990 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (2)] F2: [continues from footnote (1)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F3: Shares are held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities II, L.P. | 0 |
Reported balance
After 2023-02-24 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-02-24 · Other · Disposed 487,333 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (2)] F2: [continues from footnote (1)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F4: Shares are held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the sole general partner of Opportunities II. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II. Each of Opportunities II GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities I, L.P. | 0 |
Reported balance
After 2023-02-24 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-02-24 · Other · Disposed 496,323 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (2)] F2: [continues from footnote (1)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F5: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (2)]
F2: [continues from footnote (1)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price.
F3: Shares are held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
F4: Shares are held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the sole general partner of Opportunities II. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II. Each of Opportunities II GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
F5: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Crinetics Pharmaceuticals, Inc.
Report date June 21, 2019 · Filed June 25, 2019
Jointly reported with 5AM Ventures IV, L.P., 5AM Co-Investors IV, L.P., 5AM Partners IV, LLC, ROCKLAGE SCOTT M, DIEKMAN JOHN D
Section 16 reporting ended · disclosed 2019-06-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footote | 2,267,797 |
Reported balance
After 2019-06-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-06-21 · Sale · Disposed 240,000 · Balance 2,267,797 F1: These securities are held by by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footote | 94,489 |
Reported balance
After 2019-06-21 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-06-21 · Sale · Disposed 10,000 · Balance 94,489 F2: These securities are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Co-Investors IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are held by by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.
F2: These securities are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Co-Investors IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.
Enliven Therapeutics, Inc.
Report date February 14, 2024 · Filed February 16, 2024
Jointly reported with 5AM Partners VI, LLC, 5AM Ventures VI, L.P., 5AM Opportunities I (GP), LLC, 5AM Opportunities I, L.P., PARMAR KUSH
Section 16 reporting ended · disclosed 2024-02-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AMVentures VI, L.P. | 3,200,634 |
Reported balance
After 2024-02-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-02-14 · Sale · Disposed 688,358 · Balance 3,200,634 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.89 to $14.93 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities I, L.P. | 635,341 |
Reported balance
After 2024-02-14 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2024-02-14 · Sale · Disposed 136,642 · Balance 635,341 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.89 to $14.93 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3: The shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his respective 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 $14.89 to $14.93 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F2: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.
F3: The shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his respective pecuniary interest therein.
Entrada Therapeutics, Inc.
Report date August 06, 2026 · Filed August 10, 2026
Jointly reported with 5AM Ventures V, L.P., 5AM Partners V, LLC, 5AM Opportunities I, L.P., 5AM Opportunities I (GP), LLC, ROCKLAGE SCOTT M
Section 16 reporting ended · disclosed 2026-08-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,783,781 |
Last balance in matching sequence
After 2026-08-07 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2026-08-06 · Sale · Disposed 10,494 · Balance 2,836,098 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.90 to $7.11 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 in this footnote. F2: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock held by 5AM V, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports. Row 2 · 2026-08-07 · Sale · Disposed 52,317 · Balance 2,783,781 F3: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $6.80 to $7.01 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 securities sold at each separate price within the range set forth in this footnote. F2: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock held by 5AM V, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities I, L.P. | 1,093,313 |
Reported balance
Holding disclosure · report date 2026-08-06 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,093,313 F4: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports. |
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 $6.90 to $7.11 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 in this footnote.
F2: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock held by 5AM V, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports.
F3: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $6.80 to $7.01 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 securities sold at each separate price within the range set forth in this footnote.
F4: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports.
IDEAYA Biosciences, Inc.
Report date November 11, 2020 · Filed November 14, 2020
Jointly reported with 5AM Ventures IV, L.P., 5AM Co-Investors IV, L.P., 5AM Partners IV, LLC, 5AM Opportunities I, L.P., 5AM Opportunities I (GP), LLC, DIEKMAN JOHN D, ROCKLAGE SCOTT M
Section 16 reporting ended · disclosed 2020-11-14. 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 | 2,187,428 |
Reported balance
After 2020-11-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-11-11 · Sale · Disposed 657,117 · Balance 2,187,428 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.75 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 91,142 |
Reported balance
After 2020-11-11 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-11-11 · Sale · Disposed 27,379 · Balance 91,142 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.75 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV" and, collectively with Ventures IV, the "5AM IV Funds"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 384,496 |
Reported balance
After 2020-11-11 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2020-11-11 · Sale · Disposed 115,504 · Balance 384,496 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.75 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F4: The shares are held by 5AM Opportunities I, L.P. ("Opportunities I"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities I expressly disclaim status as a "group" for purposes of this Form 4. 5AM Opportunities I (GP), LLC ("Opportunities I GP") is the sole general partner of Opportunities I. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities I GP, and have shared voting and investment power over the shares beneficially owned by Opportunities I. Each of Opportunities I GP and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his 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 $13.50 to $13.75 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F2: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.
F3: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV" and, collectively with Ventures IV, the "5AM IV Funds"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.
F4: The shares are held by 5AM Opportunities I, L.P. ("Opportunities I"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities I expressly disclaim status as a "group" for purposes of this Form 4. 5AM Opportunities I (GP), LLC ("Opportunities I GP") is the sole general partner of Opportunities I. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities I GP, and have shared voting and investment power over the shares beneficially owned by Opportunities I. Each of Opportunities I GP and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Pear Therapeutics, Inc.
Report date April 10, 2023 · Filed April 12, 2023
Jointly reported with 5AM Partners IV, LLC, 5AM Ventures IV, L.P., 5AM Co-Investors IV, L.P., 5AM Opportunities I (GP), LLC, 5AM Opportunities I, L.P., DIEKMAN JOHN D, ROCKLAGE SCOTT M
Section 16 reporting ended · disclosed 2023-04-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures IV, L.P. | 0 |
Reported balance
After 2023-04-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-04-10 · Sale · Disposed 12,836,489 · Balance 0 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.11 to $0.19 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy 5AM Co-Investors IV, L.P. | 0 |
Reported balance
After 2023-04-10 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-04-10 · Sale · Disposed 534,855 · Balance 0 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.11 to $0.19 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities I, L.P. | 200,000 |
Reported balance
After 2023-04-10 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-04-10 · Sale · Disposed 3,172,769 · Balance 200,000 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.11 to $0.19 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F4: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his 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 $0.11 to $0.19 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F2: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.
F3: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.
F4: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein.
Q32 Bio Inc.
Report date December 22, 2020 · Filed December 29, 2020
Jointly reported with 5AM Ventures IV, L.P., 5AM Co-Investors IV, L.P., 5AM Partners IV, LLC, DIEKMAN JOHN D, ROCKLAGE SCOTT M
Section 16 reporting ended · disclosed 2020-12-29. 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 | 4,354,484 |
Reported balance
After 2020-12-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-12-22 · Sale · Disposed 480,000 · Balance 4,354,484 F1: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 181,435 |
Reported balance
After 2020-12-22 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-12-22 · Sale · Disposed 20,000 · Balance 181,435 F2: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.
F2: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.
Rallybio Corp
Report date March 07, 2023 · Filed March 09, 2023
Jointly reported with 5AM Partners V, LLC, 5AM Ventures V, L.P., ROCKLAGE SCOTT M
Section 16 reporting ended · disclosed 2023-03-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures V, L.P. | 2,378,969 |
Reported balance
After 2023-03-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-03-07 · Sale · Disposed 100,000 · Balance 2,378,969 F1: Shares are held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC is the general partner of Ventures V and may be deemed to have sole investment and voting power over the shares held by Ventures V. Each of Andrew Schwab, Dr. Kush Parmar and Dr. Scott Rocklage is a Managing Member of 5AM Partners V, LLC, and may be deemed to have shared voting and dispositive power over the shares held by Ventures V. Therefore, each of Andrew Schwab, Dr. Kush Parmar, Dr. Scott Rocklage, and 5AM Partners V, LLC may be deemed to beneficially own the shares held by Ventures V, and each disclaims beneficial ownership over the shares held by Ventures V except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities I, L.P. | 1,251,755 |
Reported balance
Holding disclosure · report date 2023-03-07 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,251,755 F2: Shares are held by 5AM Opportunities I, L.P. ("Opportunities I"). 5AM Opportunities I (GP), LLC is the general partner of Opportunities I and may be deemed to have sole investment and voting power over the shares held by Opportunities I. Each of Andrew Schwab and Dr. Kush Parmar is a Managing Member of 5AM Opportunities I (GP), LLC, and may be deemed to have shared voting and dispositive power over the shares held by Opportunities I. Therefore, each of Andrew Schwab, Dr. Kush Parmar and 5AM Opportunities I(GP), LLC may be deemed to beneficially own the shares held by Opportunities I, and each disclaims beneficial ownership over the shares held by Opportunities I except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC is the general partner of Ventures V and may be deemed to have sole investment and voting power over the shares held by Ventures V. Each of Andrew Schwab, Dr. Kush Parmar and Dr. Scott Rocklage is a Managing Member of 5AM Partners V, LLC, and may be deemed to have shared voting and dispositive power over the shares held by Ventures V. Therefore, each of Andrew Schwab, Dr. Kush Parmar, Dr. Scott Rocklage, and 5AM Partners V, LLC may be deemed to beneficially own the shares held by Ventures V, and each disclaims beneficial ownership over the shares held by Ventures V except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports.
F2: Shares are held by 5AM Opportunities I, L.P. ("Opportunities I"). 5AM Opportunities I (GP), LLC is the general partner of Opportunities I and may be deemed to have sole investment and voting power over the shares held by Opportunities I. Each of Andrew Schwab and Dr. Kush Parmar is a Managing Member of 5AM Opportunities I (GP), LLC, and may be deemed to have shared voting and dispositive power over the shares held by Opportunities I. Therefore, each of Andrew Schwab, Dr. Kush Parmar and 5AM Opportunities I(GP), LLC may be deemed to beneficially own the shares held by Opportunities I, and each disclaims beneficial ownership over the shares held by Opportunities I except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports.
scPharmaceuticals Inc.
Report date October 06, 2022 · Filed October 11, 2022
Jointly reported with 5AM Partners IV, LLC, 5AM Co-Investors IV, L.P., 5AM Opportunities I (GP), LLC, 5AM Opportunities I, L.P., 5AM Ventures IV, L.P., DIEKMAN JOHN D, ROCKLAGE SCOTT M
Section 16 reporting ended · disclosed 2022-10-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures IV, L.P. | 2,231,601 |
Last balance in matching sequence
After 2022-10-10 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2022-10-06 · Sale · Disposed 30,457 · Balance 2,688,014 F1: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Row 4 · 2022-10-10 · Sale · Disposed 456,413 · Balance 2,231,601 F1: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Co-Investors IV, L.P. | 92,983 |
Last balance in matching sequence
After 2022-10-10 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2022-10-06 · Sale · Disposed 1,269 · Balance 112,000 F2: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Row 5 · 2022-10-10 · Sale · Disposed 19,017 · Balance 92,983 F2: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities I, L.P. | 410,268 |
Last balance in matching sequence
After 2022-10-10 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 3 · 2022-10-06 · Sale · Disposed 5,808 · Balance 497,304 F3: Shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein. Row 6 · 2022-10-10 · Sale · Disposed 87,036 · Balance 410,268 F3: Shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
F2: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
F3: Shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his 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 |
|---|---|---|---|---|---|---|
| November 30, 2022 Filed Dec 2, 2022 15:38 UTC | Akouos, Inc. AKUS · Entity 11574 | OtherCommon Stock | 3,153,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-059372 · doc4.xml · nonDerivative · entry 1 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures V, L.P. Disclosed balance after: 0 F1 · shares: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for... F2 · shares: (cont. from footnote 1)...(i) $12.50 per Share, net to the stockholder in cash, without interest (the "Cash Consideration") and less any applicable tax withholding, plus (ii) one non-tradable contingent value right ("CVR") per Share, which represents the contractual right to receive contingent payments of up to $3.00 per CVR, net to the stockholder in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a Contingent Value Rights Agreement, dated as of November 30, 2022, by and among Parent, Merger Sub, Computershare Inc. and Computershare Trust Company, N.A. F1 · price: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for... F3 · ownership.nature: Shares are held directly by 5AM Ventures V, L.P. ("Ventures V"). F4 · ownership.nature: 5AM Partners V, LLC ("Partners V") is the general partner of Ventures V and may be deemed to have sole investment and voting power over the shares held by Ventures V. Each of Andrew Schwab, Dr. Kush Parmar and Dr. Scott Rocklage is a Managing Member of Partners V, and may be deemed to have shared voting and dispositive power over the shares held by Ventures V. Therefore, each of Mr. Schwab, Dr. Parmar, Dr. Rocklage, and Partners V may be deemed to beneficially own the shares held by Ventures V. Each of Mr. Schwab, Dr. Rocklage, and Partners V disclaims beneficial ownership over the shares held by Ventures V except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| November 15, 2022 Filed Nov 16, 2022 01:32 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 2,551 | $2.52 | $6,428.52 |
DisclosureSEC source: 0001209191-22-057195 · doc4.xml · nonDerivative · entry 6 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 534,855 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.655 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| November 15, 2022 Filed Nov 16, 2022 01:32 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 61,222 | $2.52 | $154,279.44 |
DisclosureSEC source: 0001209191-22-057195 · doc4.xml · nonDerivative · entry 5 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 12,836,489 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.655 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · ownership.nature: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| November 14, 2022 Filed Nov 16, 2022 01:32 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 485 | $2.79 | $1,353.15 |
DisclosureSEC source: 0001209191-22-057195 · doc4.xml · nonDerivative · entry 4 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 537,406 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.70 to $2.82 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| November 14, 2022 Filed Nov 16, 2022 01:32 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 11,643 | $2.79 | $32,483.97 |
DisclosureSEC source: 0001209191-22-057195 · doc4.xml · nonDerivative · entry 3 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 12,897,711 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.70 to $2.82 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · ownership.nature: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| November 11, 2022 Filed Nov 16, 2022 01:32 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 1,175 | $3.19 | $3,748.25 |
DisclosureSEC source: 0001209191-22-057195 · doc4.xml · nonDerivative · entry 2 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 537,891 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $3.33 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| November 11, 2022 Filed Nov 16, 2022 01:32 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 28,205 | $3.19 | $89,973.95 |
DisclosureSEC source: 0001209191-22-057195 · doc4.xml · nonDerivative · entry 1 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 12,909,354 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $3.33 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · ownership.nature: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| November 02, 2022 Filed Nov 2, 2022 23:49 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 423 | $2.72 | $1,150.56 |
DisclosureSEC source: 0001209191-22-055425 · doc4.xml · nonDerivative · entry 6 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 539,066 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.70 to $2.76 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 02, 2022 Filed Nov 2, 2022 23:49 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 10,155 | $2.72 | $27,621.60 |
DisclosureSEC source: 0001209191-22-055425 · doc4.xml · nonDerivative · entry 5 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 12,937,559 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.70 to $2.76 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 01, 2022 Filed Nov 2, 2022 23:49 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 59 | $2.80 | $165.20 |
DisclosureSEC source: 0001209191-22-055425 · doc4.xml · nonDerivative · entry 4 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 539,489 F3 · ownership.nature: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| November 01, 2022 Filed Nov 2, 2022 23:49 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 1,408 | $2.80 | $3,942.40 |
DisclosureSEC source: 0001209191-22-055425 · doc4.xml · nonDerivative · entry 3 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 12,947,714 F2 · ownership.nature: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| October 31, 2022 Filed Nov 2, 2022 23:49 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 1,687 | $2.78 | $4,689.86 |
DisclosureSEC source: 0001209191-22-055425 · doc4.xml · nonDerivative · entry 2 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 539,548 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.75 to $2.86 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| October 31, 2022 Filed Nov 2, 2022 23:49 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 40,477 | $2.78 | $112,526.06 |
DisclosureSEC source: 0001209191-22-055425 · doc4.xml · nonDerivative · entry 1 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 12,949,122 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.75 to $2.86 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · ownership.nature: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| October 10, 2022 Filed Oct 11, 2022 19:10 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 87,036 | $4.09 | $355,977.24 |
DisclosureSEC source: 0001209191-22-053401 · doc4.xml · nonDerivative · entry 6 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 410,268 F3 · ownership.nature: Shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein. Read SEC document |
| October 10, 2022 Filed Oct 11, 2022 19:10 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 19,017 | $4.09 | $77,779.53 |
DisclosureSEC source: 0001209191-22-053401 · doc4.xml · nonDerivative · entry 5 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 92,983 F2 · ownership.nature: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| October 10, 2022 Filed Oct 11, 2022 19:10 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 456,413 | $4.09 | $1,866,729.17 |
DisclosureSEC source: 0001209191-22-053401 · doc4.xml · nonDerivative · entry 4 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 2,231,601 F1 · ownership.nature: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| October 06, 2022 Filed Oct 11, 2022 19:10 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 5,808 | $5.02 | $29,156.16 |
DisclosureSEC source: 0001209191-22-053401 · doc4.xml · nonDerivative · entry 3 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 497,304 F3 · ownership.nature: Shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein. Read SEC document |
| October 06, 2022 Filed Oct 11, 2022 19:10 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 1,269 | $5.02 | $6,370.38 |
DisclosureSEC source: 0001209191-22-053401 · doc4.xml · nonDerivative · entry 2 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 112,000 F2 · ownership.nature: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| October 06, 2022 Filed Oct 11, 2022 19:10 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 30,457 | $5.02 | $152,894.14 |
DisclosureSEC source: 0001209191-22-053401 · doc4.xml · nonDerivative · entry 1 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 2,688,014 F1 · ownership.nature: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| September 16, 2022 Filed Sep 16, 2022 22:03 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 14 | $1.75 | $24.50 |
DisclosureSEC source: 0001209191-22-050387 · doc4.xml · nonDerivative · entry 6 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 541,235 Read SEC document |
| September 16, 2022 Filed Sep 16, 2022 22:03 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 337 | $1.75 | $589.75 |
DisclosureSEC source: 0001209191-22-050387 · doc4.xml · nonDerivative · entry 5 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 12,989,599 Read SEC document |
| September 15, 2022 Filed Sep 16, 2022 22:03 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 10,910 | $1.81 | $19,747.10 |
DisclosureSEC source: 0001209191-22-050387 · doc4.xml · nonDerivative · entry 4 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 541,249 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.78 to $1.92 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| September 15, 2022 Filed Sep 16, 2022 22:03 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 261,840 | $1.81 | $473,930.40 |
DisclosureSEC source: 0001209191-22-050387 · doc4.xml · nonDerivative · entry 3 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 12,989,936 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.78 to $1.92 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · ownership.nature: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| September 14, 2022 Filed Sep 16, 2022 22:03 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 11,403 | $1.94 | $22,121.82 |
DisclosureSEC source: 0001209191-22-050387 · doc4.xml · nonDerivative · entry 2 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 552,159 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.91 to $2.07 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| September 14, 2022 Filed Sep 16, 2022 22:03 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 273,664 | $1.94 | $530,908.16 |
DisclosureSEC source: 0001209191-22-050387 · doc4.xml · nonDerivative · entry 1 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 13,251,776 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.91 to $2.07 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · ownership.nature: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| September 08, 2022 Filed Sep 9, 2022 00:01 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 12,173 | $1.81 | $22,033.13 |
DisclosureSEC source: 0001209191-22-049237 · doc4.xml · nonDerivative · entry 6 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 563,562 Read SEC document |
| September 08, 2022 Filed Sep 9, 2022 00:01 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 292,149 | $1.81 | $528,789.69 |
DisclosureSEC source: 0001209191-22-049237 · doc4.xml · nonDerivative · entry 5 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 13,525,440 Read SEC document |
| September 07, 2022 Filed Sep 8, 2022 19:58 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 30,173 | $4.75 | $143,321.75 |
DisclosureSEC source: 0001209191-22-049235 · doc4.xml · nonDerivative · entry 6 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 503,112 F3 · ownership.nature: Shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein. Read SEC document |
| September 07, 2022 Filed Sep 8, 2022 19:58 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 6,793 | $4.75 | $32,266.75 |
DisclosureSEC source: 0001209191-22-049235 · doc4.xml · nonDerivative · entry 5 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 113,269 F2 · ownership.nature: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| September 07, 2022 Filed Sep 8, 2022 19:58 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 163,034 | $4.75 | $774,411.50 |
DisclosureSEC source: 0001209191-22-049235 · doc4.xml · nonDerivative · entry 4 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 2,718,471 F1 · ownership.nature: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| September 07, 2022 Filed Sep 9, 2022 00:01 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 6,181 | $1.92 | $11,867.52 |
DisclosureSEC source: 0001209191-22-049237 · doc4.xml · nonDerivative · entry 4 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 575,735 F2 · ownership.nature: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| September 07, 2022 Filed Sep 9, 2022 00:01 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 148,337 | $1.92 | $284,807.04 |
DisclosureSEC source: 0001209191-22-049237 · doc4.xml · nonDerivative · entry 3 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 13,817,589 F1 · ownership.nature: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| September 06, 2022 Filed Sep 8, 2022 19:58 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 4,016 | $5.52 | $22,168.32 |
DisclosureSEC source: 0001209191-22-049235 · doc4.xml · nonDerivative · entry 3 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 533,285 F3 · ownership.nature: Shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein. Read SEC document |
| September 06, 2022 Filed Sep 8, 2022 19:58 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 904 | $5.52 | $4,990.08 |
DisclosureSEC source: 0001209191-22-049235 · doc4.xml · nonDerivative · entry 2 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 120,062 F2 · ownership.nature: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| September 06, 2022 Filed Sep 8, 2022 19:58 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 21,702 | $5.52 | $119,795.04 |
DisclosureSEC source: 0001209191-22-049235 · doc4.xml · nonDerivative · entry 1 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 2,881,505 F1 · ownership.nature: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| September 06, 2022 Filed Sep 9, 2022 00:01 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 12,446 | $2.36 | $29,372.56 |
DisclosureSEC source: 0001209191-22-049237 · doc4.xml · nonDerivative · entry 2 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 581,916 F2 · ownership.nature: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| September 06, 2022 Filed Sep 9, 2022 00:01 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 298,714 | $2.36 | $704,965.04 |
DisclosureSEC source: 0001209191-22-049237 · doc4.xml · nonDerivative · entry 1 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 13,965,926 F1 · ownership.nature: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| August 18, 2022 Filed Aug 19, 2022 00:05 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 8,910 | $1.55 | $13,810.50 |
DisclosureSEC source: 0001209191-22-046773 · doc4.xml · nonDerivative · entry 6 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 594,362 Read SEC document |
| August 18, 2022 Filed Aug 19, 2022 00:05 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 213,851 | $1.55 | $331,469.05 |
DisclosureSEC source: 0001209191-22-046773 · doc4.xml · nonDerivative · entry 5 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 14,264,640 Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 00:05 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 403 | $1.71 | $689.13 |
DisclosureSEC source: 0001209191-22-046773 · doc4.xml · nonDerivative · entry 4 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 603,272 F2 · ownership.nature: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 00:05 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 9,674 | $1.71 | $16,542.54 |
DisclosureSEC source: 0001209191-22-046773 · doc4.xml · nonDerivative · entry 3 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 14,478,491 F1 · ownership.nature: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| August 16, 2022 Filed Aug 19, 2022 00:05 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 6,686 | $1.78 | $11,901.08 |
DisclosureSEC source: 0001209191-22-046773 · doc4.xml · nonDerivative · entry 2 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 603,675 F2 · ownership.nature: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| August 16, 2022 Filed Aug 19, 2022 00:05 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 160,476 | $1.78 | $285,647.28 |
DisclosureSEC source: 0001209191-22-046773 · doc4.xml · nonDerivative · entry 1 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 14,488,165 F1 · ownership.nature: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| August 15, 2022 Filed Aug 18, 2022 00:01 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | PurchaseCommon Stock | 487,333 | $30.00 | $14,619,990.00 |
DisclosureSEC source: 0001209191-22-046494 · doc4.xml · nonDerivative · entry 2 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner 5AM Opportunities II (GP), LLC · CIK 0001873515 · 10% owner 5AM Opportunities II, L.P. · CIK 0001844401 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Opportunities II, L.P. Disclosed balance after: 487,333 F2 · ownership.nature: Shares are held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the sole general partner of Opportunities II. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II. Each of Opportunities II GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| August 15, 2022 Filed Aug 18, 2022 00:01 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | PurchaseCommon Stock | 112,667 | $30.00 | $3,380,010.00 |
DisclosureSEC source: 0001209191-22-046494 · doc4.xml · nonDerivative · entry 1 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner 5AM Opportunities II (GP), LLC · CIK 0001873515 · 10% owner 5AM Opportunities II, L.P. · CIK 0001844401 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures VI, L.P. Disclosed balance after: 3,953,990 F1 · ownership.nature: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| June 03, 2022 Filed Jun 7, 2022 21:02 UTC | Rallybio Corp RLYB · Entity 6838 | SaleCommon Stock | 99,671 | $12.50 | $1,245,887.50 |
DisclosureSEC source: 0001209191-22-034858 · doc4.xml · nonDerivative · entry 2 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures V, L.P. Disclosed balance after: 2,478,969 F2 · ownership.nature: Shares are held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC is the general partner of Ventures V and may be deemed to have sole investment and voting power over the shares held by Ventures V. Each of Andrew Schwab, Dr. Kush Parmar and Dr. Scott Rocklage is a Managing Member of 5AM Partners V, LLC, and may be deemed to have shared voting and dispositive power over the shares held by Ventures V. Therefore, each of Andrew Schwab, Dr. Kush Parmar, Dr. Scott Rocklage, and 5AM Partners V, LLC may be deemed to beneficially own the shares held by Ventures V, and each disclaims beneficial ownership over the shares held by Ventures V except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports. Read SEC document |
| June 03, 2022 Filed Jun 7, 2022 21:02 UTC | Rallybio Corp RLYB · Entity 6838 | SaleCommon Stock | 50,329 | $12.50 | $629,112.50 |
DisclosureSEC source: 0001209191-22-034858 · doc4.xml · nonDerivative · entry 1 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 1,251,755 F1 · ownership.nature: Shares are held by 5AM Opportunities I, L.P. ("Opportunities I"). 5AM Opportunities I (GP), LLC is the general partner of Opportunities I and may be deemed to have sole investment and voting power over the shares held by Opportunities I. Each of Andrew Schwab and Dr. Kush Parmar is a Managing Member of 5AM Opportunities I (GP), LLC, and may be deemed to have shared voting and dispositive power over the shares held by Opportunities I. Therefore, each of Andrew Schwab, Dr. Kush Parmar and 5AM Opportunities I(GP), LLC may be deemed to beneficially own the shares held by Opportunities I, and each disclaims beneficial ownership over the shares held by Opportunities I except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports. Read SEC document |
| May 23, 2022 Filed May 25, 2022 22:31 UTC | Rallybio Corp RLYB · Entity 6838 | SaleCommon Stock | 66,447 | $13.00 | $863,811.00 |
DisclosureSEC source: 0001209191-22-031966 · doc4.xml · nonDerivative · entry 2 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures V, L.P. Disclosed balance after: 2,578,640 F2 · ownership.nature: Shares are held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC is the general partner of Ventures V and may be deemed to have sole investment and voting power over the shares held by Ventures V. Each of Andrew Schwab, Dr. Kush Parmar and Dr. Scott Rocklage is a Managing Member of 5AM Partners V, LLC, and may be deemed to have shared voting and dispositive power over the shares held by Ventures V. Therefore, each of Andrew Schwab, Dr. Kush Parmar, Dr. Scott Rocklage, and 5AM Partners V, LLC may be deemed to beneficially own the shares held by Ventures V, and each disclaims beneficial ownership over the shares held by Ventures V except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports. Read SEC document |
| May 23, 2022 Filed May 25, 2022 22:31 UTC | Rallybio Corp RLYB · Entity 6838 | SaleCommon Stock | 33,553 | $13.00 | $436,189.00 |
DisclosureSEC source: 0001209191-22-031966 · doc4.xml · nonDerivative · entry 1 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 1,302,084 F1 · ownership.nature: Shares are held by 5AM Opportunities I, L.P. ("Opportunities I"). 5AM Opportunities I (GP), LLC is the general partner of Opportunities I and may be deemed to have sole investment and voting power over the shares held by Opportunities I. Each of Andrew Schwab and Dr. Kush Parmar is a Managing Member of 5AM Opportunities I (GP), LLC, and may be deemed to have shared voting and dispositive power over the shares held by Opportunities I. Therefore, each of Andrew Schwab, Dr. Kush Parmar and 5AM Opportunities I(GP), LLC may be deemed to beneficially own the shares held by Opportunities I, and each disclaims beneficial ownership over the shares held by Opportunities I except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports. Read SEC document |
| April 11, 2022 Filed Apr 13, 2022 16:51 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 40,733 | $5.00 | $203,665.00 |
DisclosureSEC source: 0001209191-22-024292 · doc4.xml · nonDerivative · entry 3 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 537,301 F3 · ownership.nature: Shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.