person · Reporting owner
KOLLURI KRISHNA KITTU
Disclosed activity across 8 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Achaogen, Inc.AKAO · Entity 158957 | 10% owner | December 19, 2016 | December 19, 2016 |
| BillionToOne, Inc.BLLN · Entity 3992 | Director | August 26, 2026 | August 28, 2026 |
| KINETA, INC./DEPTI · Entity 77778 | 10% owner | September 14, 2016 | September 15, 2016 |
| Ra Pharmaceuticals, Inc.RARX · Entity 150034 | 10% owner | October 31, 2016 | October 31, 2016 |
| Roka BioScience, Inc.ROKA · Entity 172682 | 10% owner | September 21, 2016 | September 30, 2016 |
| Tracon Pharmaceuticals, Inc.TCON · Entity 91134 | 10% owner | November 29, 2016 | November 29, 2016 |
| Zosano Pharma CorpZSAN · Entity 12518 | 10% owner | September 16, 2016 | September 20, 2016 |
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.
Achaogen, Inc.
Report date December 19, 2016 · Filed December 19, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 5,215,128 |
Reported balance
After 2016-12-19 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2016-12-19 · Purchase · Acquired 500,000 · Balance 5,215,128 F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.
BillionToOne, Inc.
Report date August 26, 2026 · Filed August 28, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 908,459 |
Reported balance
After 2026-08-26 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-08-26 · Other · Disposed 129,780 · Balance 908,459 F1: Represents a pro-rata, in-kind distribution by Neotribe Ignite Fund I, L.P. ("NTIF I") to its partners, for no additional consideration. F2: The reported security is directly held by NTIF I. Neotribe Ignite Partners I, LLC ("NTIP I") is the general partner of NTIF I. Krishna Kittu Kolluri ("Kolluri") is the managing member of NTIP I and therefore may be deemed to have voting and dispositive power over the shares held by NTIF I. Kolluri disclaims beneficial ownership of the shares held by NTIF I except to the extent of his pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 7,980 |
Reported balance
After 2026-08-26 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2026-08-26 · Other · Acquired 7,980 · Balance 7,980 F3: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTIF I, for no additional consideration. F4: The reported security is directly held by NTIP I. Kolluri is the managing member of NTIP I and therefore may be deemed to have voting and dispositive power over the shares held by NTIP I. Kolluri disclaims beneficial ownership of the shares held by NTIP I except to the extent of his pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2026-08-26 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2026-08-26 · Other · Disposed 7,980 · Balance 0 F5: Represents a pro-rata, in-kind distribution by NTIP I to its members and assignees, for no additional consideration. F4: The reported security is directly held by NTIP I. Kolluri is the managing member of NTIP I and therefore may be deemed to have voting and dispositive power over the shares held by NTIP I. Kolluri disclaims beneficial ownership of the shares held by NTIP I except to the extent of his pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 169,550 |
Reported balance
After 2026-08-26 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2026-08-26 · Other · Disposed 24,222 · Balance 169,550 F6: Represents a pro-rata, in-kind distribution by Neotribe SPV I BTO, LLC ("NT SPV I") to its members, for no additional consideration. F7: The reported security is directly held by NT SPV I. Neotribe Partners SPV I BTO, LLC ("NTP SPV I") is the managing member of NT SPV I. Kolluri is the managing member of NTP SPV I and therefore may be deemed to have voting and dispositive power over the shares held by NT SPV I. Kolluri disclaims beneficial ownership of the shares held by NT SPV I except to the extent of his pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,405 |
Reported balance
After 2026-08-26 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2026-08-26 · Other · Acquired 2,405 · Balance 2,405 F8: The shares were obtained pursuant to a pro-rata, in-kind distribution from NT SPV I, for no additional consideration. F9: The reported security is directly held by NTP SPV I. Kolluri is the managing member of NTP SPV I and therefore may be deemed to have voting and dispositive power over the shares held by NTP SPV I. Kolluri disclaims beneficial ownership of the shares held by NTP SPV I except to the extent of his pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2026-08-26 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 6 · 2026-08-26 · Other · Disposed 2,405 · Balance 0 F10: Represents a pro-rata, in-kind distribution by NTP SPV I to its members and assignees, for no additional consideration. F9: The reported security is directly held by NTP SPV I. Kolluri is the managing member of NTP SPV I and therefore may be deemed to have voting and dispositive power over the shares held by NTP SPV I. Kolluri disclaims beneficial ownership of the shares held by NTP SPV I except to the extent of his pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,897,202 |
Reported balance
After 2026-08-26 transaction · row 7
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 7 · 2026-08-26 · Other · Disposed 271,028 · Balance 1,897,202 F11: Represents a pro-rata, in-kind distribution by NeoTribe Ventures I, L.P. ("NTV I") to its partners, for no additional consideration. F12: The reported security is directly held by NTV I, for itself. NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Kolluri disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 38,106 |
Reported balance
After 2026-08-26 transaction · row 8
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 8 · 2026-08-26 · Other · Acquired 38,106 · Balance 38,106 F13: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTV I, for no additional consideration. F14: The reported security is directly held by NTP I. Kolluri is the managing member of NTP I and therefore may be deemed to have voting and dispositive power over the shares held by NTP I. Kolluri disclaims beneficial ownership of the shares held by NTP I except to the extent of his pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2026-08-26 transaction · row 9
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 9 · 2026-08-26 · Other · Disposed 38,106 · Balance 0 F15: Represents a pro-rata, in-kind distribution by NTP I to its members and assignees, for no additional consideration. F14: The reported security is directly held by NTP I. Kolluri is the managing member of NTP I and therefore may be deemed to have voting and dispositive power over the shares held by NTP I. Kolluri disclaims beneficial ownership of the shares held by NTP I except to the extent of his pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 76,441 |
Reported balance
After 2026-08-26 transaction · row 10
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 10 · 2026-08-26 · Other · Disposed 10,921 · Balance 76,441 F16: Represents a pro-rata, in-kind distribution by NeoTribe Associates I, L.P. ("NTA I") to its partners, for no additional consideration. F17: The reported security is directly held by NTV I, as nominee for NTA I. NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Kolluri disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,157 |
Reported balance
After 2026-08-26 transaction · row 11
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 11 · 2026-08-26 · Other · Acquired 719 · Balance 2,157 F3: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTIF I, for no additional consideration. F18: The reported security is directly held by Ishaan S. Kolluri GST Exempt Trust under the Kolluri 2012 Trust Dtd 11/16/2012, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,157 |
Reported balance
After 2026-08-26 transaction · row 12
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 12 · 2026-08-26 · Other · Acquired 719 · Balance 2,157 F3: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTIF I, for no additional consideration. F19: The reported security is directly held by Raina V. Kolluri GST Exempt Trust under the Kolluri 2012 Trust Dtd 11/16/2012, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 35,285 |
Reported balance
After 2026-08-26 transaction · row 13
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 13 · 2026-08-26 · Other · Acquired 5,761 · Balance 35,285 F20: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTIP I, for no additional consideration. F21: The reported security is directly held by Kolluri Living Trust dated 11/05/1999, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 36,951 |
Reported balance
After 2026-08-26 transaction · row 14
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 14 · 2026-08-26 · Other · Acquired 1,666 · Balance 36,951 F22: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTP SPV I, for no additional consideration. F21: The reported security is directly held by Kolluri Living Trust dated 11/05/1999, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 52,195 |
Reported balance
After 2026-08-26 transaction · row 15
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 15 · 2026-08-26 · Other · Acquired 15,244 · Balance 52,195 F23: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTP I, for no additional consideration. F21: The reported security is directly held by Kolluri Living Trust dated 11/05/1999, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 57,839 |
Reported balance
After 2026-08-26 transaction · row 16
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 16 · 2026-08-26 · Other · Acquired 5,644 · Balance 57,839 F24: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTA I, for no additional consideration. F21: The reported security is directly held by Kolluri Living Trust dated 11/05/1999, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a pro-rata, in-kind distribution by Neotribe Ignite Fund I, L.P. ("NTIF I") to its partners, for no additional consideration.
F2: The reported security is directly held by NTIF I. Neotribe Ignite Partners I, LLC ("NTIP I") is the general partner of NTIF I. Krishna Kittu Kolluri ("Kolluri") is the managing member of NTIP I and therefore may be deemed to have voting and dispositive power over the shares held by NTIF I. Kolluri disclaims beneficial ownership of the shares held by NTIF I except to the extent of his pecuniary interest therein.
F3: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTIF I, for no additional consideration.
F4: The reported security is directly held by NTIP I. Kolluri is the managing member of NTIP I and therefore may be deemed to have voting and dispositive power over the shares held by NTIP I. Kolluri disclaims beneficial ownership of the shares held by NTIP I except to the extent of his pecuniary interest therein.
F5: Represents a pro-rata, in-kind distribution by NTIP I to its members and assignees, for no additional consideration.
F6: Represents a pro-rata, in-kind distribution by Neotribe SPV I BTO, LLC ("NT SPV I") to its members, for no additional consideration.
F7: The reported security is directly held by NT SPV I. Neotribe Partners SPV I BTO, LLC ("NTP SPV I") is the managing member of NT SPV I. Kolluri is the managing member of NTP SPV I and therefore may be deemed to have voting and dispositive power over the shares held by NT SPV I. Kolluri disclaims beneficial ownership of the shares held by NT SPV I except to the extent of his pecuniary interest therein.
F8: The shares were obtained pursuant to a pro-rata, in-kind distribution from NT SPV I, for no additional consideration.
F9: The reported security is directly held by NTP SPV I. Kolluri is the managing member of NTP SPV I and therefore may be deemed to have voting and dispositive power over the shares held by NTP SPV I. Kolluri disclaims beneficial ownership of the shares held by NTP SPV I except to the extent of his pecuniary interest therein.
F10: Represents a pro-rata, in-kind distribution by NTP SPV I to its members and assignees, for no additional consideration.
F11: Represents a pro-rata, in-kind distribution by NeoTribe Ventures I, L.P. ("NTV I") to its partners, for no additional consideration.
F12: The reported security is directly held by NTV I, for itself. NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Kolluri disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.
F13: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTV I, for no additional consideration.
F14: The reported security is directly held by NTP I. Kolluri is the managing member of NTP I and therefore may be deemed to have voting and dispositive power over the shares held by NTP I. Kolluri disclaims beneficial ownership of the shares held by NTP I except to the extent of his pecuniary interest therein.
F15: Represents a pro-rata, in-kind distribution by NTP I to its members and assignees, for no additional consideration.
F16: Represents a pro-rata, in-kind distribution by NeoTribe Associates I, L.P. ("NTA I") to its partners, for no additional consideration.
F17: The reported security is directly held by NTV I, as nominee for NTA I. NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Kolluri disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.
F18: The reported security is directly held by Ishaan S. Kolluri GST Exempt Trust under the Kolluri 2012 Trust Dtd 11/16/2012, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares.
F19: The reported security is directly held by Raina V. Kolluri GST Exempt Trust under the Kolluri 2012 Trust Dtd 11/16/2012, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares.
F20: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTIP I, for no additional consideration.
F21: The reported security is directly held by Kolluri Living Trust dated 11/05/1999, of which Kolluri is a trustee and therefore may be deemed to hold voting and dispositive power over these shares. Kolluri disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F22: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTP SPV I, for no additional consideration.
F23: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTP I, for no additional consideration.
F24: The shares were obtained pursuant to a pro-rata, in-kind distribution from NTA I, for no additional consideration.
KINETA, INC./DE
Report date September 14, 2016 · Filed September 15, 2016
Jointly reported with New Enterprise Associates 12, Limited Partnership, NEA Partners 12, Limited Partnership, NEA 12 GP, LLC, BARRIS PETER J, BASKETT FOREST, KERINS PATRICK J, SANDELL SCOTT D
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,554,610 |
Reported balance
After 2016-09-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2016-09-14 · Purchase · Acquired 461,538 · Balance 3,554,610 F1: The shares are directly held by New Enterprise Associates 12, Limited Partnership ("NEA 12") and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP together, the "NEA 12 Indirect Reporting Persons"). The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, Krishna "Kittu" Kolluri, and Scott D. Sandell. The NEA 12 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 12 shares in which the NEA 12 Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are directly held by New Enterprise Associates 12, Limited Partnership ("NEA 12") and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP together, the "NEA 12 Indirect Reporting Persons"). The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, Krishna "Kittu" Kolluri, and Scott D. Sandell. The NEA 12 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 12 shares in which the NEA 12 Indirect Reporting Persons have no pecuniary interest.
Ra Pharmaceuticals, Inc.
Report date October 31, 2016 · Filed October 31, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 3,490,073 |
Last balance in matching sequence
After 2016-10-31 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
6 source rowsRow 1 · 2016-10-31 · Other · Acquired 80,658 · Balance 80,658 F1: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 435 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 80,223 shares, after deducting the aggregate exercise price. F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. Row 2 · 2016-10-31 · Sale · Disposed 435 · Balance 80,223 F1: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 435 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 80,223 shares, after deducting the aggregate exercise price. F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. Row 3 · 2016-10-31 · Conversion · Acquired 1,778,227 · Balance 1,858,450 F3: Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. Row 4 · 2016-10-31 · Conversion · Acquired 669,951 · Balance 2,528,401 F4: Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. Row 5 · 2016-10-31 · Conversion · Acquired 623,210 · Balance 3,151,611 F5: Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. Row 6 · 2016-10-31 · Purchase · Acquired 338,462 · Balance 3,490,073 F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. |
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.07 · Expires 2022-04-01 | IndirectSee Note 2 | 0 |
Reported balance
After 2016-10-31 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2016-10-31 · Other · Disposed 80,658 · Balance 0 F1: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 435 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 80,223 shares, after deducting the aggregate exercise price. F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2016-10-31 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2016-10-31 · Conversion · Disposed 12,447,605 · Balance 0 F3: Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. |
| Series B-1 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2016-10-31 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2016-10-31 · Conversion · Disposed 4,689,657 · Balance 0 F4: Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. |
| Series B-2 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2016-10-31 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2016-10-31 · Conversion · Disposed 4,362,472 · Balance 0 F5: Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 435 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 80,223 shares, after deducting the aggregate exercise price.
F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.
F3: Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
F4: Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
F5: Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
Roka BioScience, Inc.
Report date September 21, 2016 · Filed September 30, 2016 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.70 | IndirectSee Note 3 | 4,000 |
Reported balance
After 2016-09-21 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2016-09-21 · Purchase · Acquired 4,000 · Balance 4,000 F2: NEA 13 purchased 4,000 Shares of Series A Preferred Shares and five-year warrants to purchase 5,714,286 Common Shares at a purchase price of $1,000 per unit pursuant to a Securities Purchase Agreement dated September 16, 2016, with a closing date of September 21, 2016 for a total of $4,000,000. F1: This amendment to Form 4 is being filed to correct the number of shares of Common Stock underlying the Series A Convertible Preferred Stock. Pursuant to the terms of the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock and the lock up agreement dated September 21, 2016, NEA 13's Series A Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Shares") automatically converts, upon receipt by the Company of shareholder approval, into a number of shares of the Issuer's common stock, par value $0.001 per share ("Common Shares"), determined by dividing the stated value of each Preferred Share (which is $1,000) by $0.70. Such conversion is reflected in the amount of Common Shares reported in column 7 as underlying the security. The Series A Preferred Shares have no expiration date. F3: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: This amendment to Form 4 is being filed to correct the number of shares of Common Stock underlying the Series A Convertible Preferred Stock. Pursuant to the terms of the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock and the lock up agreement dated September 21, 2016, NEA 13's Series A Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Shares") automatically converts, upon receipt by the Company of shareholder approval, into a number of shares of the Issuer's common stock, par value $0.001 per share ("Common Shares"), determined by dividing the stated value of each Preferred Share (which is $1,000) by $0.70. Such conversion is reflected in the amount of Common Shares reported in column 7 as underlying the security. The Series A Preferred Shares have no expiration date.
F2: NEA 13 purchased 4,000 Shares of Series A Preferred Shares and five-year warrants to purchase 5,714,286 Common Shares at a purchase price of $1,000 per unit pursuant to a Securities Purchase Agreement dated September 16, 2016, with a closing date of September 21, 2016 for a total of $4,000,000.
F3: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.
Tracon Pharmaceuticals, Inc.
Report date November 29, 2016 · Filed November 29, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 2,758,039 |
Reported balance
After 2016-11-29 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2016-11-29 · Purchase · Acquired 869,565 · Balance 2,758,039 F1: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.
Zosano Pharma Corp
Report date September 16, 2016 · Filed September 20, 2016
Jointly reported with New Enterprise Associates 12, Limited Partnership, NEA Partners 12, Limited Partnership, NEA 12 GP, LLC, BARRIS PETER J, BASKETT FOREST, KERINS PATRICK J, SANDELL SCOTT D
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,052,805 |
Reported balance
After 2016-09-16 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2016-09-16 · Sale · Disposed 7,471 · Balance 2,052,805 F1: The securities are directly held by New Enterprise Associates 12, Limited Partnership ("NEA 12") and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP together, the "NEA 12 Indirect Reporting Persons"). The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, Krishna "Kittu" Kolluri, and Scott D. Sandell. The NEA 12 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 12 shares in which the NEA 12 Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by New Enterprise Associates 12, Limited Partnership ("NEA 12") and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP together, the "NEA 12 Indirect Reporting Persons"). The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, Krishna "Kittu" Kolluri, and Scott D. Sandell. The NEA 12 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 12 shares in which the NEA 12 Indirect Reporting Persons have no pecuniary interest.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Heliogen, Inc.
Report date August 24, 2022 · Filed August 26, 2022
Jointly reported with NeoTribe Partners I, LLC, NeoTribe Ventures I, L.P., NeoTribe Associates I, L.P.
Section 16 reporting ended · disclosed 2022-08-26. 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 | 18,193,084 |
Reported balance
After 2022-08-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-08-24 · Sale · Disposed 133,299 · Balance 18,193,084 F1: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.38 to $2.67. The reporting person undertakes to provide to the issuer, any stockholder 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. F2: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 733,255 |
Reported balance
After 2022-08-24 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2022-08-24 · Sale · Disposed 5,366 · Balance 733,255 F1: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.38 to $2.67. The reporting person undertakes to provide to the issuer, any stockholder 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. F3: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 18,086,126 |
Reported balance
After 2022-08-25 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2022-08-25 · Sale · Disposed 106,958 · Balance 18,086,126 F4: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.41 to $2.62. The reporting person undertakes to provide to the issuer, any stockholder 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. F2: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 728,950 |
Reported balance
After 2022-08-25 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2022-08-25 · Sale · Disposed 4,305 · Balance 728,950 F4: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.41 to $2.62. The reporting person undertakes to provide to the issuer, any stockholder 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. F3: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.38 to $2.67. The reporting person undertakes to provide to the issuer, any stockholder 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.
F2: Shares are held directly by NeoTribe Ventures I, L.P. ("NTV I"). NeoTribe Partners I, LLC ("NTP I") is the general partner of NTV I. Krishna Kolluri ("Kolluri") is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTV I. Such managing member disclaims beneficial ownership of the shares held by NTV I except to the extent of his pecuniary interest therein.
F3: Shares are held directly by NeoTribe Associates I, L.P. ("NTA I"). NTP I is the general partner of NTA I. Kolluri is the managing member of NTP I and therefore may be deemed to hold voting and dispositive power over the shares held by NTA I. Such managing member disclaims beneficial ownership of the shares held by NTA I except to the extent of his pecuniary interest therein.
F4: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $2.41 to $2.62. The reporting person undertakes to provide to the issuer, any stockholder 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.
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 |
|---|---|---|---|---|---|---|
| September 21, 2016 Filed Sep 23, 2016 17:08 UTC | Roka BioScience, Inc. ROKA · Entity 172682 | PurchaseWarrant to Purchase Common Stock (right to buy) · Derivative | 5,714,286 | Not disclosed Strike: $0.70 | Not disclosed |
DisclosureSEC source: 0001209191-16-142657 · doc4.xml · derivative · entry 3 KOLLURI KRISHNA KITTU · CIK 0001270521 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 5,714,286 Underlying: Common Stock · 5,714,286 shares Expires 2021-09-21 F3 · price: NEA 13 purchased 4,000 Shares of Series A Preferred Shares and five-year warrants to purchase 5,714,286 Common Shares at a purchase price of $1,000 per unit pursuant to a Securities Purchase Agreement dated September 16, 2016, with a closing date of September 21, 2016 for a total of $4,000,000. F1 · ownership.nature: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. Read SEC document |
| September 21, 2016 Filed Sep 23, 2016 17:08 UTC | Roka BioScience, Inc. ROKA · Entity 172682 | PurchaseSeries A Convertible Preferred Stock · Derivative | 4,000 | Not disclosed Strike: $0.70 | Not disclosed |
DisclosureSEC source: 0001209191-16-142657 · doc4.xml · derivative · entry 2 KOLLURI KRISHNA KITTU · CIK 0001270521 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 4,000 Underlying: Common Stock · 4,000 shares Expires not disclosed F3 · price: NEA 13 purchased 4,000 Shares of Series A Preferred Shares and five-year warrants to purchase 5,714,286 Common Shares at a purchase price of $1,000 per unit pursuant to a Securities Purchase Agreement dated September 16, 2016, with a closing date of September 21, 2016 for a total of $4,000,000. F2 · derivative.exercise_date: Pursuant to the terms of the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock and the lock up agreement dated September 21, 2016, NEA 13's Series A Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Shares") automatically converts, upon receipt by the Company of shareholder approval, into shares of the Company's common stock, par value $0.001 (the "Common Shares") at a conversion price of $0.70 per share. The Series A Preferred Shares have no expiration date. F2 · derivative.expiration_date: Pursuant to the terms of the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock and the lock up agreement dated September 21, 2016, NEA 13's Series A Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Shares") automatically converts, upon receipt by the Company of shareholder approval, into shares of the Company's common stock, par value $0.001 (the "Common Shares") at a conversion price of $0.70 per share. The Series A Preferred Shares have no expiration date. F1 · ownership.nature: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. Read SEC document |
| September 21, 2016 Filed Sep 30, 2016 16:32 UTC Amendment | Roka BioScience, Inc. ROKA · Entity 172682 | PurchaseSeries A Convertible Preferred Stock · Derivative | 4,000 | Not disclosed Strike: $0.70 | Not disclosed |
DisclosureSEC source: 0001209191-16-143326 · doc4a.xml · derivative · entry 1 KOLLURI KRISHNA KITTU · CIK 0001270521 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 3 Disclosed balance after: 4,000 Underlying: Common Stock · 5,714,286 shares Expires not disclosed F2 · price: NEA 13 purchased 4,000 Shares of Series A Preferred Shares and five-year warrants to purchase 5,714,286 Common Shares at a purchase price of $1,000 per unit pursuant to a Securities Purchase Agreement dated September 16, 2016, with a closing date of September 21, 2016 for a total of $4,000,000. F1 · derivative.exercise_date: This amendment to Form 4 is being filed to correct the number of shares of Common Stock underlying the Series A Convertible Preferred Stock. Pursuant to the terms of the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock and the lock up agreement dated September 21, 2016, NEA 13's Series A Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Shares") automatically converts, upon receipt by the Company of shareholder approval, into a number of shares of the Issuer's common stock, par value $0.001 per share ("Common Shares"), determined by dividing the stated value of each Preferred Share (which is $1,000) by $0.70. Such conversion is reflected in the amount of Common Shares reported in column 7 as underlying the security. The Series A Preferred Shares have no expiration date. F1 · derivative.expiration_date: This amendment to Form 4 is being filed to correct the number of shares of Common Stock underlying the Series A Convertible Preferred Stock. Pursuant to the terms of the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock and the lock up agreement dated September 21, 2016, NEA 13's Series A Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Shares") automatically converts, upon receipt by the Company of shareholder approval, into a number of shares of the Issuer's common stock, par value $0.001 per share ("Common Shares"), determined by dividing the stated value of each Preferred Share (which is $1,000) by $0.70. Such conversion is reflected in the amount of Common Shares reported in column 7 as underlying the security. The Series A Preferred Shares have no expiration date. F1 · derivative.underlying_shares: This amendment to Form 4 is being filed to correct the number of shares of Common Stock underlying the Series A Convertible Preferred Stock. Pursuant to the terms of the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock and the lock up agreement dated September 21, 2016, NEA 13's Series A Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Shares") automatically converts, upon receipt by the Company of shareholder approval, into a number of shares of the Issuer's common stock, par value $0.001 per share ("Common Shares"), determined by dividing the stated value of each Preferred Share (which is $1,000) by $0.70. Such conversion is reflected in the amount of Common Shares reported in column 7 as underlying the security. The Series A Preferred Shares have no expiration date. F3 · ownership.nature: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. Read SEC document |
| September 16, 2016 Filed Sep 20, 2016 20:39 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | SaleCommon Stock | 7,471 | $0.75 | $5,603.25 |
DisclosureSEC source: 0001209191-16-142163 · doc4.xml · nonDerivative · entry 1 New Enterprise Associates 12, Limited Partnership · CIK 0001383391 · 10% owner NEA Partners 12, Limited Partnership · CIK 0001383390 · 10% owner NEA 12 GP, LLC · CIK 0001383389 · 10% owner BARRIS PETER J · CIK 0001005561 · 10% owner BASKETT FOREST · CIK 0001277631 · 10% owner KERINS PATRICK J · CIK 0001235112 · 10% owner KOLLURI KRISHNA KITTU · CIK 0001270521 · 10% owner SANDELL SCOTT D · CIK 0001237289 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,052,805 F1 · ownership.direct: The securities are directly held by New Enterprise Associates 12, Limited Partnership ("NEA 12") and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP together, the "NEA 12 Indirect Reporting Persons"). The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, Krishna "Kittu" Kolluri, and Scott D. Sandell. The NEA 12 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 12 shares in which the NEA 12 Indirect Reporting Persons have no pecuniary interest. Read SEC document |
| September 14, 2016 Filed Sep 15, 2016 20:31 UTC | KINETA, INC./DE PTI · Entity 77778 | PurchaseCommon Stock | 461,538 | $13.00 | $5,999,994.00 |
DisclosureSEC source: 0001209191-16-141608 · doc4.xml · nonDerivative · entry 1 New Enterprise Associates 12, Limited Partnership · CIK 0001383391 · 10% owner NEA Partners 12, Limited Partnership · CIK 0001383390 · 10% owner NEA 12 GP, LLC · CIK 0001383389 · 10% owner BARRIS PETER J · CIK 0001005561 · 10% owner BASKETT FOREST · CIK 0001277631 · 10% owner KERINS PATRICK J · CIK 0001235112 · 10% owner KOLLURI KRISHNA KITTU · CIK 0001270521 · 10% owner SANDELL SCOTT D · CIK 0001237289 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,554,610 F1 · ownership.direct: The shares are directly held by New Enterprise Associates 12, Limited Partnership ("NEA 12") and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP together, the "NEA 12 Indirect Reporting Persons"). The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, Krishna "Kittu" Kolluri, and Scott D. Sandell. The NEA 12 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 12 shares in which the NEA 12 Indirect Reporting Persons have no pecuniary interest. Read SEC document |
| September 13, 2016 Filed Sep 15, 2016 20:30 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | SaleCommon Stock | 10,000 | $0.74 | $7,400.00 |
DisclosureSEC source: 0001209191-16-141605 · doc4.xml · nonDerivative · entry 1 New Enterprise Associates 12, Limited Partnership · CIK 0001383391 · 10% owner NEA Partners 12, Limited Partnership · CIK 0001383390 · 10% owner NEA 12 GP, LLC · CIK 0001383389 · 10% owner BARRIS PETER J · CIK 0001005561 · 10% owner BASKETT FOREST · CIK 0001277631 · 10% owner KERINS PATRICK J · CIK 0001235112 · 10% owner KOLLURI KRISHNA KITTU · CIK 0001270521 · 10% owner SANDELL SCOTT D · CIK 0001237289 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,060,276 F1 · ownership.direct: The securities are directly held by New Enterprise Associates 12, Limited Partnership ("NEA 12") and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP together, the "NEA 12 Indirect Reporting Persons"). The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, Krishna "Kittu" Kolluri, and Scott D. Sandell. The NEA 12 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 12 shares in which the NEA 12 Indirect Reporting Persons have no pecuniary interest. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.