person · Reporting owner
PERCEPTIVE ADVISORS LLC
Disclosed activity across 46 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AGILE THERAPEUTICS INCAGRX · Entity 87994 | 10% owner | October 13, 2021 | October 15, 2021 |
| Adagio Medical Holdings, Inc.ADGM · Entity 7926 | Director · 10% owner | October 20, 2025 | October 22, 2025 |
| Athenex, Inc.ATNX · Entity 113753 | 10% owner | September 14, 2020 | September 14, 2020 |
| Cerevel Therapeutics Holdings, Inc.CERE · Entity 15182 | Director | February 20, 2024 | February 21, 2024 |
| Crinetics Pharmaceuticals, Inc.CRNX · Entity 3579 | 10% owner | April 18, 2022 | April 18, 2022 |
| Foamix Pharmaceuticals Ltd.FOMX · Entity 150527 | 10% owner | July 29, 2019 | August 06, 2019 |
| Freenome, Inc.FRNM · Entity 4644 | 10% owner | July 20, 2026 | July 23, 2026 |
| Immatics N.V.IMTX · Entity 4718 | Director | August 26, 2026 | August 27, 2026 |
| IsoPlexis CorpISO · Entity 115290 | 10% owner | October 12, 2021 | October 14, 2021 |
| Kardigan, Inc.KARD · Entity 4569 | Director | June 17, 2026 | July 13, 2026 |
| Landos Biopharma, Inc.LABP · Entity 90644 | 10% owner | January 10, 2023 | January 11, 2023 |
| LeonaBio, Inc.LONA · Entity 1487 | Director · 10% owner | April 09, 2026 | July 10, 2026 |
| LianBioLIAN · Entity 9881 | Director · 10% owner | February 15, 2024 | February 20, 2024 |
| MeiraGTx Holdings plcMGTX · Entity 4734 | Director · 10% owner | June 11, 2026 | June 15, 2026 |
| Nautilus Biotechnology, Inc.NAUT · Entity 6679 | Director · 10% owner | June 14, 2024 | June 17, 2024 |
| Rain Oncology Inc.RAIN · Entity 94695 | 10% owner | October 07, 2021 | October 13, 2021 |
| SOLENO THERAPEUTICS INCSLNO · Entity 46432 | 10% owner | September 26, 2023 | September 28, 2023 |
| Solid Biosciences Inc.SLDB · Entity 4915 | Director · 10% owner | June 10, 2026 | June 11, 2026 |
| VAPOTHERM INCVAPO · Entity 87270 | 10% owner | June 17, 2024 | June 27, 2024 |
| VBI VACCINES INC.VBIV · Entity 154844 | 10% owner | December 06, 2016 | March 09, 2017 |
| VBI Vaccines Inc/BCVBIV · Entity 111039 | 10% owner | April 04, 2023 | April 06, 2023 |
| Verrica Pharmaceuticals Inc.VRCA · Entity 6823 | 10% owner | December 27, 2023 | December 29, 2023 |
| Yarrow Bioscience, Inc.YARW · Entity 6871 | 10% owner | July 27, 2026 | July 29, 2026 |
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.
AGILE THERAPEUTICS INC
Report date October 13, 2021 · Filed October 15, 2021
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 21,654,485 |
Reported balance
After 2021-10-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-10-13 · Purchase · Acquired 5,734,560 · Balance 21,654,485 F1: The securities reported on this Form 4 were acquired as a unit, with each unit consisting of one share of common stock and one-half of a warrant to purchase one share of common stock, with a combined price of $0.85 per unit. The warrants may not be exercised if the Reporting Persons and their affiliates would beneficially own more than 9.9% of the Issuer???s outstanding shares of common stock following the exercise. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.85 · Expires 2026-10-13 | IndirectSee footnote | 2,687,280 |
Reported balance
After 2021-10-13 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-10-13 · Purchase · Acquired 2,687,280 · Balance 2,687,280 F1: The securities reported on this Form 4 were acquired as a unit, with each unit consisting of one share of common stock and one-half of a warrant to purchase one share of common stock, with a combined price of $0.85 per unit. The warrants may not be exercised if the Reporting Persons and their affiliates would beneficially own more than 9.9% of the Issuer???s outstanding shares of common stock following the exercise. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported on this Form 4 were acquired as a unit, with each unit consisting of one share of common stock and one-half of a warrant to purchase one share of common stock, with a combined price of $0.85 per unit. The warrants may not be exercised if the Reporting Persons and their affiliates would beneficially own more than 9.9% of the Issuer???s outstanding shares of common stock following the exercise.
F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Adagio Medical Holdings, Inc.
Report date October 20, 2025 · Filed October 22, 2025
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Tranche A Warrant ("Common Warrant" right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.71 | IndirectSee footnote | 1,344,999 |
Reported balance
After 2025-10-20 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-10-20 · Purchase · Acquired 1,344,999 · Balance 1,344,999 F2: Represents the purchase price for each common warrant purchased by the Reporting Person in the Issuer's registered public offering that closed on October 20, 2025. F1: The common warrants are immediately exercisable, subject to the Beneficial Ownership Limitation (as defined below), and will expire on the fifth anniversary of their issuance. Pursuant to the terms of the common warrants, the common warrant cannot be exercised to the extent that, upon giving effect to or immediately prior to such exercise, would cause either (i) the aggregate number of shares of Common Stock beneficially owned by such holder (together with its affiliates) would exceed 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise or (ii) the combined voting power of the Issuer's securities beneficially owned by such holder (together with its affiliates) would exceed 9.99% of the combined voting power of all of the Issuer's securities outstanding immediately after giving effect to the exercise (the "Beneficial Ownership Limitation"). F3: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Tranche B Warrant ("Common Warrant" right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.71 | IndirectSee footnote | 1,344,999 |
Reported balance
After 2025-10-20 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-10-20 · Purchase · Acquired 1,344,999 · Balance 1,344,999 F2: Represents the purchase price for each common warrant purchased by the Reporting Person in the Issuer's registered public offering that closed on October 20, 2025. F1: The common warrants are immediately exercisable, subject to the Beneficial Ownership Limitation (as defined below), and will expire on the fifth anniversary of their issuance. Pursuant to the terms of the common warrants, the common warrant cannot be exercised to the extent that, upon giving effect to or immediately prior to such exercise, would cause either (i) the aggregate number of shares of Common Stock beneficially owned by such holder (together with its affiliates) would exceed 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise or (ii) the combined voting power of the Issuer's securities beneficially owned by such holder (together with its affiliates) would exceed 9.99% of the combined voting power of all of the Issuer's securities outstanding immediately after giving effect to the exercise (the "Beneficial Ownership Limitation"). F3: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Tranche C Warrant ("Common Warrant" right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.71 | IndirectSee footnote | 1,344,999 |
Reported balance
After 2025-10-20 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-10-20 · Purchase · Acquired 1,344,999 · Balance 1,344,999 F2: Represents the purchase price for each common warrant purchased by the Reporting Person in the Issuer's registered public offering that closed on October 20, 2025. F1: The common warrants are immediately exercisable, subject to the Beneficial Ownership Limitation (as defined below), and will expire on the fifth anniversary of their issuance. Pursuant to the terms of the common warrants, the common warrant cannot be exercised to the extent that, upon giving effect to or immediately prior to such exercise, would cause either (i) the aggregate number of shares of Common Stock beneficially owned by such holder (together with its affiliates) would exceed 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise or (ii) the combined voting power of the Issuer's securities beneficially owned by such holder (together with its affiliates) would exceed 9.99% of the combined voting power of all of the Issuer's securities outstanding immediately after giving effect to the exercise (the "Beneficial Ownership Limitation"). F3: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Pre-Funded Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnote | 2,190,496 |
Reported balance
After 2025-10-20 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-10-20 · Purchase · Acquired 2,190,496 · Balance 2,190,496 F5: Represents the purchase price for each pre-funded warrant purchased by the Reporting Person in the Issuer's registered public offering that closed on October 20, 2025. F4: The pre-funded warrants are immediately exercisable, subject to the Beneficial Ownership Limitation, and will expire on the date they are exercised in full. F3: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The common warrants are immediately exercisable, subject to the Beneficial Ownership Limitation (as defined below), and will expire on the fifth anniversary of their issuance. Pursuant to the terms of the common warrants, the common warrant cannot be exercised to the extent that, upon giving effect to or immediately prior to such exercise, would cause either (i) the aggregate number of shares of Common Stock beneficially owned by such holder (together with its affiliates) would exceed 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise or (ii) the combined voting power of the Issuer's securities beneficially owned by such holder (together with its affiliates) would exceed 9.99% of the combined voting power of all of the Issuer's securities outstanding immediately after giving effect to the exercise (the "Beneficial Ownership Limitation").
F2: Represents the purchase price for each common warrant purchased by the Reporting Person in the Issuer's registered public offering that closed on October 20, 2025.
F3: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
F4: The pre-funded warrants are immediately exercisable, subject to the Beneficial Ownership Limitation, and will expire on the date they are exercised in full.
F5: Represents the purchase price for each pre-funded warrant purchased by the Reporting Person in the Issuer's registered public offering that closed on October 20, 2025.
Athenex, Inc.
Report date September 14, 2020 · Filed September 14, 2020
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 13,532,467 |
Last balance in matching sequence
After 2020-09-14 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-09-10 · Purchase · Acquired 200,000 · Balance 11,732,467 F1: The transaction was executed in multiple trades at prices ranging from $10.985 to $11.40. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 2 · 2020-09-14 · Purchase · Acquired 1,800,000 · Balance 13,532,467 F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The transaction was executed in multiple trades at prices ranging from $10.985 to $11.40. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Cerevel Therapeutics Holdings, Inc.
Report date February 20, 2024 · Filed February 21, 2024
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2024-02-20 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2024-02-20 · Gift · Disposed 170,317 · Balance 0 F1: Prior to the disposition reported on this Form 4, the securities were directly held by C2 Life Sciences, LLC ("C2"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of C2, and Mr. Edelman is the managing member of the Advisor. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 10,794,876 |
Reported balance
Holding disclosure · report date 2024-02-20 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 10,794,876 F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). The Advisor serves as the investment manager of Master Fund. Mr. Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Prior to the disposition reported on this Form 4, the securities were directly held by C2 Life Sciences, LLC ("C2"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of C2, and Mr. Edelman is the managing member of the Advisor.
F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). The Advisor serves as the investment manager of Master Fund. Mr. Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Crinetics Pharmaceuticals, Inc.
Report date April 18, 2022 · Filed April 18, 2022
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 5,321,032 |
Reported balance
After 2022-04-18 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-04-18 · Purchase · Acquired 157,515 · Balance 5,321,032 F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Foamix Pharmaceuticals Ltd.
Report date July 29, 2019 · Filed August 06, 2019
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 11,203,881 |
Reported balance
Holding disclosure · report date 2019-07-29 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 11,203,881 F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.09 · Expires 2026-07-29 | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2019-07-29 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F2: The Warrants cannot be exercised to the extent that, after giving effect to such exercise, Perceptive Credit Holdings II, L.P. (the "Credit Fund"), together with its Affiliates (as defined in the terms of the Warrant Agreement) would beneficially own in excess of 9.99% of the Issuer's voting shares. Accordingly, the Warrants cannot currently be exercised. F3: The securities are directly held by the Credit Fund. Mr. Edelman is the control person of the general partner of the Credit Fund. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
F2: The Warrants cannot be exercised to the extent that, after giving effect to such exercise, Perceptive Credit Holdings II, L.P. (the "Credit Fund"), together with its Affiliates (as defined in the terms of the Warrant Agreement) would beneficially own in excess of 9.99% of the Issuer's voting shares. Accordingly, the Warrants cannot currently be exercised.
F3: The securities are directly held by the Credit Fund. Mr. Edelman is the control person of the general partner of the Credit Fund. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Freenome, Inc.
Report date July 20, 2026 · Filed July 23, 2026
Jointly reported with EDELMAN JOSEPH, PERCEPTIVE LIFE SCIENCES MASTER FUND LTD
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 10,871,847 |
Reported balance
After 2026-07-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-07-20 · Grant · Acquired 5,500,000 · Balance 10,871,847 F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Immatics N.V.
Report date August 26, 2026 · Filed August 27, 2026
Jointly reported with EDELMAN JOSEPH, PERCEPTIVE LIFE SCIENCES MASTER FUND LTD
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Footnote | 11,246,516 |
Reported balance
After 2026-08-26 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-08-26 · Purchase · Acquired 863,060 · Balance 11,246,516 F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager to the Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager to the Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
IsoPlexis Corp
Report date October 12, 2021 · Filed October 14, 2021
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, Perceptive Credit Advisors, LLC, Perceptive Credit Holdings III, LP, PCOF EQ AIV III, LP, EDELMAN JOSEPH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Perceptive Life Sciences Master Fund, Ltd. | 3,554,587 |
Last balance in matching sequence
After 2021-10-12 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-10-12 · Conversion · Acquired 2,704,587 · Balance 2,704,587 F1: Shares of Series D Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering (the "IPO"). The Preferred Stock had no expiration date. F5: Includes 104,475 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F2: The securities are directly held by Perceptive Life Sciences Master Fund, Ltd. ("Master Fund"). Perceptive Advisors LLC (the "Advisor") is the investment manager of the Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 4 · 2021-10-12 · Purchase · Acquired 850,000 · Balance 3,554,587 F2: The securities are directly held by Perceptive Life Sciences Master Fund, Ltd. ("Master Fund"). Perceptive Advisors LLC (the "Advisor") is the investment manager of the Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy Perceptive Credit Holdings III, LP | 335,962 |
Reported balance
After 2021-10-12 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-10-12 · Conversion · Acquired 335,962 · Balance 335,962 F1: Shares of Series D Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering (the "IPO"). The Preferred Stock had no expiration date. F6: Includes 12,978 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F3: The securities are directly held by Perceptive Credit Holdings III, LP ("PCH III"). Perceptive Credit Advisors, LLC ("Perceptive Credit") is the investment manager to PCH III. Joseph Edelman is the managing member of Perceptive Credit. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy PCOF EQ AIV III, LP | 204,949 |
Reported balance
After 2021-10-12 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2021-10-12 · Conversion · Acquired 204,949 · Balance 204,949 F1: Shares of Series D Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering (the "IPO"). The Preferred Stock had no expiration date. F7: Includes 7,917 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F4: The securities are directly held by PCOF EQ AIV III, LP ("PCOF"). Perceptive Credit is the investment manager to PCOF. Joseph Edelman is the managing member of Perceptive Credit. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Series D Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy Perceptive Life Sciences Master Fund, Ltd. | 0 |
Reported balance
After 2021-10-12 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-10-12 · Conversion · Disposed 325,014 · Balance 0 F1: Shares of Series D Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering (the "IPO"). The Preferred Stock had no expiration date. F2: The securities are directly held by Perceptive Life Sciences Master Fund, Ltd. ("Master Fund"). Perceptive Advisors LLC (the "Advisor") is the investment manager of the Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Series D Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy Perceptive Credit Holdings III, LP | 0 |
Reported balance
After 2021-10-12 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-10-12 · Conversion · Disposed 40,373 · Balance 0 F1: Shares of Series D Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering (the "IPO"). The Preferred Stock had no expiration date. F3: The securities are directly held by Perceptive Credit Holdings III, LP ("PCH III"). Perceptive Credit Advisors, LLC ("Perceptive Credit") is the investment manager to PCH III. Joseph Edelman is the managing member of Perceptive Credit. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Series D Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy PCOF EQ AIV III, LP | 0 |
Reported balance
After 2021-10-12 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-10-12 · Conversion · Disposed 24,629 · Balance 0 F1: Shares of Series D Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering (the "IPO"). The Preferred Stock had no expiration date. F4: The securities are directly held by PCOF EQ AIV III, LP ("PCOF"). Perceptive Credit is the investment manager to PCOF. Joseph Edelman is the managing member of Perceptive Credit. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares of Series D Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering (the "IPO"). The Preferred Stock had no expiration date.
F2: The securities are directly held by Perceptive Life Sciences Master Fund, Ltd. ("Master Fund"). Perceptive Advisors LLC (the "Advisor") is the investment manager of the Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
F3: The securities are directly held by Perceptive Credit Holdings III, LP ("PCH III"). Perceptive Credit Advisors, LLC ("Perceptive Credit") is the investment manager to PCH III. Joseph Edelman is the managing member of Perceptive Credit. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
F4: The securities are directly held by PCOF EQ AIV III, LP ("PCOF"). Perceptive Credit is the investment manager to PCOF. Joseph Edelman is the managing member of Perceptive Credit. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
F5: Includes 104,475 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F6: Includes 12,978 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F7: Includes 7,917 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
Kardigan, Inc.
Report date June 17, 2026 · Filed July 13, 2026
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, Perceptive Capital Solutions Holdings LP, EDELMAN JOSEPH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 20,706 |
Reported balance
After 2026-06-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-06-17 · Grant · Acquired 20,706 · Balance 20,706 F1: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The RSUs vest in full on June 17, 2028, subject to Douglas E. Giordano's ("Mr. Giordano") continuous service as of the applicable vesting date. F2: Mr. Giordano is a Managing Director and Co-Head of Capital Solutions at Perceptive Advisors LLC (the "Advisor"). The Advisor serves as the investment manager of Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Capital Solutions Advisors LP ("PCS Advisors", together with the Advisor, the "Advisors"), a relying adviser of the Advisor, serves as the investment manager to Perceptive Capital Solutions Holdings LP ("PCS Holdings"), and Perceptive Capital Solutions GP LLC ("PCS GP") serves as the general partner of PCS Holdings. Mr. Edelman is the managing member of PCS GP and the Advisor. F3: The Advisors may be deemed to have an indirect pecuniary interest in the options reported herein because the Advisors have the right to receive the director compensation attributable to Mr. Giordano's board service through a partial management fee offset. Each of Mr. Edelman, the Master Fund, PCS Holdings, and the Advisors disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that any of Mr. Edelman, the Master Fund, PCS Holdings, or the Advisors is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The RSUs vest in full on June 17, 2028, subject to Douglas E. Giordano's ("Mr. Giordano") continuous service as of the applicable vesting date.
F2: Mr. Giordano is a Managing Director and Co-Head of Capital Solutions at Perceptive Advisors LLC (the "Advisor"). The Advisor serves as the investment manager of Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Capital Solutions Advisors LP ("PCS Advisors", together with the Advisor, the "Advisors"), a relying adviser of the Advisor, serves as the investment manager to Perceptive Capital Solutions Holdings LP ("PCS Holdings"), and Perceptive Capital Solutions GP LLC ("PCS GP") serves as the general partner of PCS Holdings. Mr. Edelman is the managing member of PCS GP and the Advisor.
F3: The Advisors may be deemed to have an indirect pecuniary interest in the options reported herein because the Advisors have the right to receive the director compensation attributable to Mr. Giordano's board service through a partial management fee offset. Each of Mr. Edelman, the Master Fund, PCS Holdings, and the Advisors disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that any of Mr. Edelman, the Master Fund, PCS Holdings, or the Advisors is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Landos Biopharma, Inc.
Report date January 10, 2023 · Filed January 11, 2023
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, Perceptive Xontogeny Venture Fund, LP, Perceptive Xontogeny Venture Fund II, LP, EDELMAN JOSEPH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Pre-funded WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee footnote | 27,272,727 |
Reported balance
After 2023-01-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-01-10 · Purchase · Acquired 27,272,727 · Balance 27,272,727 F1: The Pre-Funded Warrants cannot be exercised to the extent that, upon giving effect to such exercise, the aggregated number of shares of Common Stock beneficially owned by the holder (together with its affiliates, any "group" or any other persons whose beneficial ownership could be aggregated with the holders) would exceed 35.00% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise. F2: The securities are directly held by Perceptive Xontogeny Venture Fund II, L.P. ("PXV II"). The Advisor serves as the investment manager of PXV II, and Perceptive Xontogeny Venture II GP, LLC ("PXV GP") is the general partner of PXV II. Mr. Edelman is the managing member of PXV GP and the Advisor. The Advisor, PXV GP and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Pre-funded WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee footnote | 3,636,363 |
Reported balance
After 2023-01-10 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-01-10 · Purchase · Acquired 3,636,363 · Balance 3,636,363 F1: The Pre-Funded Warrants cannot be exercised to the extent that, upon giving effect to such exercise, the aggregated number of shares of Common Stock beneficially owned by the holder (together with its affiliates, any "group" or any other persons whose beneficial ownership could be aggregated with the holders) would exceed 35.00% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise. F3: The securities are directly held by PX Venture (A), LLC ("PX Venture"). The Advisor serves as the investment manager of PX Venture, Mr. Edelman is the managing member of the Advisor. The Advisor, and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The Pre-Funded Warrants cannot be exercised to the extent that, upon giving effect to such exercise, the aggregated number of shares of Common Stock beneficially owned by the holder (together with its affiliates, any "group" or any other persons whose beneficial ownership could be aggregated with the holders) would exceed 35.00% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise.
F2: The securities are directly held by Perceptive Xontogeny Venture Fund II, L.P. ("PXV II"). The Advisor serves as the investment manager of PXV II, and Perceptive Xontogeny Venture II GP, LLC ("PXV GP") is the general partner of PXV II. Mr. Edelman is the managing member of PXV GP and the Advisor. The Advisor, PXV GP and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
F3: The securities are directly held by PX Venture (A), LLC ("PX Venture"). The Advisor serves as the investment manager of PX Venture, Mr. Edelman is the managing member of the Advisor. The Advisor, and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
LeonaBio, Inc.
Report date April 09, 2026 · Filed July 10, 2026
Jointly reported with EDELMAN JOSEPH, PERCEPTIVE LIFE SCIENCES MASTER FUND LTD
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.54 · Expires 2036-04-08 | IndirectSee footnote | 28,000 |
Reported balance
After 2026-04-09 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-04-09 · Grant · Acquired 28,000 · Balance 28,000 F1: The shares subject to the option shall be scheduled to vest monthly over a term of 24 months on the monthly anniversaries of the grant date, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2026 Equity Incentive Plan) through the applicable vesting dates. F2: Joseph Edelman ("Mr. Edelman") is the managing member of Perceptive Advisors LLC (the "Advisor"). The Advisor serves as the investment manager of Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). The Advisor may be deemed to have an indirect pecuniary interest in the securities reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Edelman's board service through a partial management fee offset. Each of the Master Fund and the Advisor disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of its indirect pecuniary interest therein, and this report shall not be deemed an admission that either the Master Fund or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option shall be scheduled to vest monthly over a term of 24 months on the monthly anniversaries of the grant date, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2026 Equity Incentive Plan) through the applicable vesting dates.
F2: Joseph Edelman ("Mr. Edelman") is the managing member of Perceptive Advisors LLC (the "Advisor"). The Advisor serves as the investment manager of Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). The Advisor may be deemed to have an indirect pecuniary interest in the securities reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Edelman's board service through a partial management fee offset. Each of the Master Fund and the Advisor disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of its indirect pecuniary interest therein, and this report shall not be deemed an admission that either the Master Fund or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
LianBio
Report date February 15, 2024 · Filed February 20, 2024
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | IndirectSee footnote | 36,300 |
Reported balance
After 2024-02-15 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2024-02-15 · Exercise / conversion · Acquired 36,300 · Balance 36,300 F1: Represents securities held by Adam Stone. Mr. Stone is the Chief Investment Officer of Perceptive Advisors, LLC (the "Advisor"). The Advisor may be deemed to have an indirect pecuniary interest in the securities of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Stone's board service through a partial management fee offset. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee footnote | 17,082 |
Reported balance
After 2024-02-15 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2024-02-15 · Tax withholding · Disposed 19,218 · Balance 17,082 F1: Represents securities held by Adam Stone. Mr. Stone is the Chief Investment Officer of Perceptive Advisors, LLC (the "Advisor"). The Advisor may be deemed to have an indirect pecuniary interest in the securities of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Stone's board service through a partial management fee offset. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee footnote | 36,300 |
Reported balance
After 2024-02-15 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2024-02-15 · Exercise / conversion · Acquired 36,300 · Balance 36,300 F2: Represents securities held by Konstanin Poukalov. Mr. Poukalov is affiliated with the Advisor. The Advisor may be deemed to have an indirect pecuniary interest in the securities of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Poukalov's board service through a partial management fee offset. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee footnote | 17,082 |
Reported balance
After 2024-02-15 transaction · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · 2024-02-15 · Tax withholding · Disposed 19,218 · Balance 17,082 F2: Represents securities held by Konstanin Poukalov. Mr. Poukalov is affiliated with the Advisor. The Advisor may be deemed to have an indirect pecuniary interest in the securities of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Poukalov's board service through a partial management fee offset. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee footnote | 25,368,895 |
Reported balance
Holding disclosure · report date 2024-02-15 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 25,368,895 F4: The securities are directly held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). The Advisor serves as the investment advisor to the Master Fund. Joseph Edelman is the managing member of the Advisor. The Advisor and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee footnote | 21,653,385 |
Reported balance
Holding disclosure · report date 2024-02-15 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 21,653,385 F5: The securities are directly held by LEV LB Holdings, LP ("LEV LB"). LEV LB Holdings GP, LLC ("LEV LB LLC") is the manager of LEV LB. Mr. Edelman is the sole member of LEV LB LLC. LEV LB LLC and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee footnote | 4,330,675 |
Reported balance
Holding disclosure · report date 2024-02-15 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 4,330,675 F6: The securities are directly held by Perceptive Xontogeny Venture Fund, LP ("Perceptive Xontogeny"). Perceptive Venture Advisors, LLC (the "Venture Advisor") serves as the investment advisor to Perceptive Xontogeny and is an affiliate of the Advisor. Joseph Edelman is the managing member of the Advisor. The Venture Advisor, the Advisor and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee footnote | 2,477,005 |
Reported balance
Holding disclosure · report date 2024-02-15 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 2,477,005 F7: The securities are directly held by C2 Life Sciences LLC ("C2 Life"). The Advisor serves as the investment advisor to C2 Life. Joseph Edelman is the managing member of the Advisor. The Advisor and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.52 · Expires 2032-06-23 | IndirectSee Footnote | 0 |
Reported balance
After 2024-02-15 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2024-02-15 · Exercise / conversion · Disposed 36,300 · Balance 0 F1: Represents securities held by Adam Stone. Mr. Stone is the Chief Investment Officer of Perceptive Advisors, LLC (the "Advisor"). The Advisor may be deemed to have an indirect pecuniary interest in the securities of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Stone's board service through a partial management fee offset. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.52 · Expires 2032-06-23 | IndirectSee Footnotes | 0 |
Reported balance
After 2024-02-15 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2024-02-15 · Exercise / conversion · Disposed 36,300 · Balance 0 F2: Represents securities held by Konstanin Poukalov. Mr. Poukalov is affiliated with the Advisor. The Advisor may be deemed to have an indirect pecuniary interest in the securities of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Poukalov's board service through a partial management fee offset. |
| American Depository SharesSEC Table I · non-derivative | IndirectSee footnote | 3,728,491 |
Reported balance
Holding disclosure · report date 2024-02-15 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 3,728,491 F3: Each American Depositary Share represents one Ordinary Share of the Issuer. F4: The securities are directly held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). The Advisor serves as the investment advisor to the Master Fund. Joseph Edelman is the managing member of the Advisor. The Advisor and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents securities held by Adam Stone. Mr. Stone is the Chief Investment Officer of Perceptive Advisors, LLC (the "Advisor"). The Advisor may be deemed to have an indirect pecuniary interest in the securities of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Stone's board service through a partial management fee offset.
F2: Represents securities held by Konstanin Poukalov. Mr. Poukalov is affiliated with the Advisor. The Advisor may be deemed to have an indirect pecuniary interest in the securities of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Poukalov's board service through a partial management fee offset.
F3: Each American Depositary Share represents one Ordinary Share of the Issuer.
F4: The securities are directly held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). The Advisor serves as the investment advisor to the Master Fund. Joseph Edelman is the managing member of the Advisor. The Advisor and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
F5: The securities are directly held by LEV LB Holdings, LP ("LEV LB"). LEV LB Holdings GP, LLC ("LEV LB LLC") is the manager of LEV LB. Mr. Edelman is the sole member of LEV LB LLC. LEV LB LLC and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
F6: The securities are directly held by Perceptive Xontogeny Venture Fund, LP ("Perceptive Xontogeny"). Perceptive Venture Advisors, LLC (the "Venture Advisor") serves as the investment advisor to Perceptive Xontogeny and is an affiliate of the Advisor. Joseph Edelman is the managing member of the Advisor. The Venture Advisor, the Advisor and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
F7: The securities are directly held by C2 Life Sciences LLC ("C2 Life"). The Advisor serves as the investment advisor to C2 Life. Joseph Edelman is the managing member of the Advisor. The Advisor and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
MeiraGTx Holdings plc
Report date June 11, 2026 · Filed June 15, 2026
Jointly reported with EDELMAN JOSEPH, PERCEPTIVE LIFE SCIENCES MASTER FUND LTD
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Share UnitsSEC Table II · derivative / convertible security | IndirectSee footnote | 60,000 |
Reported balance
After 2026-06-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-11 · Grant · Acquired 60,000 · Balance 60,000 F1: Each restricted share unit converts into one ordinary share of the Issuer upon settlement. The restricted share units become settleable when Ellen Hukkelhoven ("Ms. Hukkelhoven") ceases to be a director of the Issuer. F2: The restricted share units shall vest in a single annual installment upon the earlier of (i) June 11, 2027 or (ii) the day immediately prior to the date of the Issuer's annual meeting of shareholders in 2027. F3: Ms. Hukkelhoven is a Managing Director of Perceptive Advisors, LLC (the "Advisor"). The Advisor serves as the investment manager of Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). The Advisor may be deemed to have an indirect pecuniary interest in the securities reported herein because the Advisor has the right to receive the director compensation provided in respect of Ms. Hukkelhoven's board service through a partial management fee offset. Joseph Edelman ("Mr. Edelman") is the managing member of the Advisor. Each of Mr. Edelman, the Master Fund and the Advisor disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman, the Master Fund or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted share unit converts into one ordinary share of the Issuer upon settlement. The restricted share units become settleable when Ellen Hukkelhoven ("Ms. Hukkelhoven") ceases to be a director of the Issuer.
F2: The restricted share units shall vest in a single annual installment upon the earlier of (i) June 11, 2027 or (ii) the day immediately prior to the date of the Issuer's annual meeting of shareholders in 2027.
F3: Ms. Hukkelhoven is a Managing Director of Perceptive Advisors, LLC (the "Advisor"). The Advisor serves as the investment manager of Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). The Advisor may be deemed to have an indirect pecuniary interest in the securities reported herein because the Advisor has the right to receive the director compensation provided in respect of Ms. Hukkelhoven's board service through a partial management fee offset. Joseph Edelman ("Mr. Edelman") is the managing member of the Advisor. Each of Mr. Edelman, the Master Fund and the Advisor disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman, the Master Fund or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Nautilus Biotechnology, Inc.
Report date June 14, 2024 · Filed June 17, 2024
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.56 · Expires 2034-06-14 | IndirectSee Footnotes | 45,000 |
Reported balance
After 2024-06-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-06-14 · Grant · Acquired 45,000 · Balance 45,000 F1: Subject to the continuous status of Mr. Altman as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of the grant on the same day of the month as such grant date. F2: Consists of options to purchase shares of the Issuer's common stock awarded to Michael Altman in connection with his role as a member of the Issuer's Board of Directors. Mr. Altman is affiliated with Perceptive Advisors LLC (the "Advisor"). The Advisor may be deemed to have an indirect pecuniary interest in the options to purchase common stock of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Altman's board service through a partial management fee offset. F3: Joseph Edelman is the managing member of the Advisor. The Advisor serves as the investment manager of Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Each of Mr. Edelman, the Master Fund and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of the securities reported on this form, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman, the Master Fund or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Subject to the continuous status of Mr. Altman as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of the grant on the same day of the month as such grant date.
F2: Consists of options to purchase shares of the Issuer's common stock awarded to Michael Altman in connection with his role as a member of the Issuer's Board of Directors. Mr. Altman is affiliated with Perceptive Advisors LLC (the "Advisor"). The Advisor may be deemed to have an indirect pecuniary interest in the options to purchase common stock of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Altman's board service through a partial management fee offset.
F3: Joseph Edelman is the managing member of the Advisor. The Advisor serves as the investment manager of Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Each of Mr. Edelman, the Master Fund and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of the securities reported on this form, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman, the Master Fund or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Rain Oncology Inc.
Report date October 07, 2021 · Filed October 13, 2021
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,487,019 |
Last balance in matching sequence
After 2021-10-12 transaction · row 7
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
7 source rowsRow 1 · 2021-10-07 · Sale · Disposed 13,082 · Balance 2,523,937 F1: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.00 to $14.98, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F8: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 2 · 2021-10-07 · Sale · Disposed 286 · Balance 2,523,651 F2: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.01 to $15.06, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F8: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 3 · 2021-10-08 · Sale · Disposed 5,038 · Balance 2,518,613 F3: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.49 to $13.04, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F8: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 4 · 2021-10-08 · Sale · Disposed 2,462 · Balance 2,516,151 F4: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.74, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F8: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 5 · 2021-10-11 · Sale · Disposed 12,475 · Balance 2,503,676 F5: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.75 to $12.70, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F8: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 6 · 2021-10-11 · Sale · Disposed 9,351 · Balance 2,494,325 F6: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.78 to $13.45, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F8: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 7 · 2021-10-12 · Sale · Disposed 7,306 · Balance 2,487,019 F7: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.58 to $13.40, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F8: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.00 to $14.98, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F2: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.01 to $15.06, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F3: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.49 to $13.04, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F4: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.74, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F5: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.75 to $12.70, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F6: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.78 to $13.45, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F7: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.58 to $13.40, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F8: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
SOLENO THERAPEUTICS INC
Report date September 26, 2023 · Filed September 28, 2023
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 3,074,542 |
Last balance in matching sequence
After 2023-09-28 transaction · row 15
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
15 source rowsRow 1 · 2023-09-26 · Purchase · Acquired 5,703 · Balance 2,213,456 F2: The price reported is a weighted average price. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges of the prices reported. F3: These shares were purchased in multiple transactions at prices ranging from $6.95 to $7.87, inclusive. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 2 · 2023-09-26 · Purchase · Acquired 13,687 · Balance 2,227,143 F2: The price reported is a weighted average price. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges of the prices reported. F4: These shares were purchased in multiple transactions at prices ranging from $8.00 to $8.89, inclusive. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 3 · 2023-09-26 · Purchase · Acquired 5,419 · Balance 2,232,562 F2: The price reported is a weighted average price. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges of the prices reported. F5: These shares were purchased in multiple transactions at prices ranging from $9.32 to $9.73, inclusive. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 4 · 2023-09-26 · Purchase · Acquired 37,911 · Balance 2,270,473 F2: The price reported is a weighted average price. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges of the prices reported. F6: These shares were purchased in multiple transactions at prices ranging from $10.39 to $11.38, inclusive. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 5 · 2023-09-26 · Purchase · Acquired 77,837 · Balance 2,348,310 F2: The price reported is a weighted average price. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges of the prices reported. F7: These shares were purchased in multiple transactions at prices ranging from $11.39 to $12.40, inclusive. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 6 · 2023-09-26 · Purchase · Acquired 42,838 · Balance 2,391,148 F2: The price reported is a weighted average price. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges of the prices reported. F8: These shares were purchased in multiple transactions at prices ranging from $12.41 to $13.40, inclusive. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 7 · 2023-09-26 · Purchase · Acquired 30,511 · Balance 2,421,659 F2: The price reported is a weighted average price. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges of the prices reported. F9: These shares were purchased in multiple transactions at prices ranging from $13.42 to $14.41, inclusive. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 8 · 2023-09-26 · Purchase · Acquired 3,326 · Balance 2,424,985 F2: The price reported is a weighted average price. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges of the prices reported. F10: These shares were purchased in multiple transactions at prices ranging from $14.42 to $15.00, inclusive. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 9 · 2023-09-26 · Purchase · Acquired 27,769 · Balance 2,452,754 F2: The price reported is a weighted average price. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges of the prices reported. F11: These shares were purchased in multiple transactions at prices ranging from $15.66 to $16.50, inclusive. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 10 · 2023-09-26 · Purchase · Acquired 75,477 · Balance 2,528,231 F2: The price reported is a weighted average price. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges of the prices reported. F12: These shares were purchased in multiple transactions at prices ranging from $16.70 to $17.695, inclusive. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 11 · 2023-09-26 · Purchase · Acquired 52,691 · Balance 2,580,922 F2: The price reported is a weighted average price. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges of the prices reported. F13: These shares were purchased in multiple transactions at prices ranging from $17.70 to $18.69, inclusive. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 12 · 2023-09-26 · Purchase · Acquired 88,685 · Balance 2,669,607 F2: The price reported is a weighted average price. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges of the prices reported. F14: These shares were purchased in multiple transactions at prices ranging from $18.70 to $19.69, inclusive. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 13 · 2023-09-26 · Purchase · Acquired 117,996 · Balance 2,787,603 F2: The price reported is a weighted average price. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges of the prices reported. F15: These shares were purchased in multiple transactions at prices ranging from $19.70 to $20.69, inclusive. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 14 · 2023-09-26 · Purchase · Acquired 36,939 · Balance 2,824,542 F2: The price reported is a weighted average price. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges of the prices reported. F16: These shares were purchased in multiple transactions at prices ranging from $20.70 to $21.40, inclusive. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 15 · 2023-09-28 · Purchase · Acquired 250,000 · Balance 3,074,542 F17: Purchased in the Issuer's registered public offering scheduled to close on October 2, 2023. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Pre-funded warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Footnote | 250,000 |
Reported balance
After 2023-09-28 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2023-09-28 · Purchase · Acquired 250,000 · Balance 250,000 F18: Represents pre-funded warrants purchased in the Issuer's private placement scheduled to close on October 2, 2023. The pre-funded warrants may not be exercised if the holder together with its affiliates would beneficially own more than 9.99% of the Issuer's outstanding shares of common stock after giving effect to the exercise. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
F2: The price reported is a weighted average price. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges of the prices reported.
F3: These shares were purchased in multiple transactions at prices ranging from $6.95 to $7.87, inclusive.
F4: These shares were purchased in multiple transactions at prices ranging from $8.00 to $8.89, inclusive.
F5: These shares were purchased in multiple transactions at prices ranging from $9.32 to $9.73, inclusive.
F6: These shares were purchased in multiple transactions at prices ranging from $10.39 to $11.38, inclusive.
F7: These shares were purchased in multiple transactions at prices ranging from $11.39 to $12.40, inclusive.
F8: These shares were purchased in multiple transactions at prices ranging from $12.41 to $13.40, inclusive.
F9: These shares were purchased in multiple transactions at prices ranging from $13.42 to $14.41, inclusive.
F10: These shares were purchased in multiple transactions at prices ranging from $14.42 to $15.00, inclusive.
F11: These shares were purchased in multiple transactions at prices ranging from $15.66 to $16.50, inclusive.
F12: These shares were purchased in multiple transactions at prices ranging from $16.70 to $17.695, inclusive.
F13: These shares were purchased in multiple transactions at prices ranging from $17.70 to $18.69, inclusive.
F14: These shares were purchased in multiple transactions at prices ranging from $18.70 to $19.69, inclusive.
F15: These shares were purchased in multiple transactions at prices ranging from $19.70 to $20.69, inclusive.
F16: These shares were purchased in multiple transactions at prices ranging from $20.70 to $21.40, inclusive.
F17: Purchased in the Issuer's registered public offering scheduled to close on October 2, 2023.
F18: Represents pre-funded warrants purchased in the Issuer's private placement scheduled to close on October 2, 2023. The pre-funded warrants may not be exercised if the holder together with its affiliates would beneficially own more than 9.99% of the Issuer's outstanding shares of common stock after giving effect to the exercise.
Solid Biosciences Inc.
Report date June 10, 2026 · Filed June 11, 2026
Jointly reported with EDELMAN JOSEPH, PERCEPTIVE LIFE SCIENCES MASTER FUND LTD
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.61 · Expires 2036-06-10 | IndirectSee footnote | 77,500 |
Reported balance
After 2026-06-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-10 · Grant · Acquired 77,500 · Balance 77,500 F1: This option was granted on June 10, 2026 and vests in full on the earlier to occur of the one-year anniversary of the grant date and immediately prior to the Issuer's next annual meeting of stockholders occurring after the grant date, and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events. F2: Consists of options to purchase shares of the Issuer's common stock awarded to Adam Stone in connection with his role as a member of the Issuer's Board of Directors. Mr. Stone is the Chief Investment Officer of Perceptive Advisors, LLC (the "Advisor"). The Advisor may be deemed to have an indirect pecuniary interest in the options to purchase common stock of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Stone's board service through a partial management fee offset. F3: Joseph Edelman is the managing member of the Advisor. The Advisor serves as the investment manager to Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Each of Mr. Edelman, the Advisor and the Master Fund disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, the Advisor or the Master Fund is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: This option was granted on June 10, 2026 and vests in full on the earlier to occur of the one-year anniversary of the grant date and immediately prior to the Issuer's next annual meeting of stockholders occurring after the grant date, and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.
F2: Consists of options to purchase shares of the Issuer's common stock awarded to Adam Stone in connection with his role as a member of the Issuer's Board of Directors. Mr. Stone is the Chief Investment Officer of Perceptive Advisors, LLC (the "Advisor"). The Advisor may be deemed to have an indirect pecuniary interest in the options to purchase common stock of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Stone's board service through a partial management fee offset.
F3: Joseph Edelman is the managing member of the Advisor. The Advisor serves as the investment manager to Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Each of Mr. Edelman, the Advisor and the Master Fund disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, the Advisor or the Master Fund is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
VAPOTHERM INC
Report date June 17, 2024 · Filed June 27, 2024
Jointly reported with Veronica Intermediate Holdings, LLC, Veronica Holdings, LLC, EDELMAN JOSEPH
This filing explicitly reported no securities owned.
VBI VACCINES INC.
Report date December 06, 2016 · Filed March 09, 2017 · Amendment
Jointly reported with EDELMAN JOSEPH, PERCEPTIVE LIFE SCIENCES MASTER FUND LTD
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 |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 6,245,725 |
Reported balance
After 2016-12-06 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2016-12-06 · Purchase · Acquired 3,383,955 · Balance 6,245,725 F1: This Form 4/A is being filed by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"), Perceptive Advisors LLC (the "Advisor") and Joseph Edelman. The Advisor serves as the investment manager of Master Fund. Mr. Edelman is the managing member of the Advisor. This transaction reflects the purchase of common stock and warrants of the issuer in a private placement from the issuer. The previous Form 4 misstated the securities held by the Master Fund. F2: This amount reported in Table I reflects the amount of securities held by the Master Fund immediately following the transaction requiring the filing of this statement. In accordance with Instruction 5(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Master Fund is reported herein. The amount reported in Table II reflects the amount of securities held by Perceptive Credit Holdings, LP (the "Credit Fund). In accordance with Instruction 5(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Credit Fund is reported herein. F3: Edelman is the control person of the general partner of the Credit Fund. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $4.13 · Expires 2021-12-06 | IndirectSee Footnotes | 727,542 |
Reported balance
After 2016-12-06 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2016-12-06 · Purchase · Acquired 363,771 · Balance 727,542 F1: This Form 4/A is being filed by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"), Perceptive Advisors LLC (the "Advisor") and Joseph Edelman. The Advisor serves as the investment manager of Master Fund. Mr. Edelman is the managing member of the Advisor. This transaction reflects the purchase of common stock and warrants of the issuer in a private placement from the issuer. The previous Form 4 misstated the securities held by the Master Fund. F2: This amount reported in Table I reflects the amount of securities held by the Master Fund immediately following the transaction requiring the filing of this statement. In accordance with Instruction 5(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Master Fund is reported herein. The amount reported in Table II reflects the amount of securities held by Perceptive Credit Holdings, LP (the "Credit Fund). In accordance with Instruction 5(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Credit Fund is reported herein. F3: Edelman is the control person of the general partner of the Credit Fund. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $3.36 · Expires 2021-12-06 | IndirectSee Footnotes | 2,068,824 |
Reported balance
After 2016-12-06 transaction · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · 2016-12-06 · Purchase · Acquired 1,341,282 · Balance 2,068,824 F1: This Form 4/A is being filed by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"), Perceptive Advisors LLC (the "Advisor") and Joseph Edelman. The Advisor serves as the investment manager of Master Fund. Mr. Edelman is the managing member of the Advisor. This transaction reflects the purchase of common stock and warrants of the issuer in a private placement from the issuer. The previous Form 4 misstated the securities held by the Master Fund. F2: This amount reported in Table I reflects the amount of securities held by the Master Fund immediately following the transaction requiring the filing of this statement. In accordance with Instruction 5(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Master Fund is reported herein. The amount reported in Table II reflects the amount of securities held by Perceptive Credit Holdings, LP (the "Credit Fund). In accordance with Instruction 5(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Credit Fund is reported herein. F3: Edelman is the control person of the general partner of the Credit Fund. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4/A is being filed by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"), Perceptive Advisors LLC (the "Advisor") and Joseph Edelman. The Advisor serves as the investment manager of Master Fund. Mr. Edelman is the managing member of the Advisor. This transaction reflects the purchase of common stock and warrants of the issuer in a private placement from the issuer. The previous Form 4 misstated the securities held by the Master Fund.
F2: This amount reported in Table I reflects the amount of securities held by the Master Fund immediately following the transaction requiring the filing of this statement. In accordance with Instruction 5(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Master Fund is reported herein. The amount reported in Table II reflects the amount of securities held by Perceptive Credit Holdings, LP (the "Credit Fund). In accordance with Instruction 5(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Credit Fund is reported herein.
F3: Edelman is the control person of the general partner of the Credit Fund. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
VBI Vaccines Inc/BC
Report date April 04, 2023 · Filed April 06, 2023
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 47,524,379 |
Reported balance
After 2023-04-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-04-04 · Sale · Disposed 4,810,623 · Balance 47,524,379 F1: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.14 to $0.21, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F4: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 45,691,816 |
Reported balance
After 2023-04-05 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-04-05 · Sale · Disposed 1,832,563 · Balance 45,691,816 F2: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.12 to $0.15, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F4: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 41,440,729 |
Reported balance
After 2023-04-06 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-04-06 · Sale · Disposed 4,251,563 · Balance 41,440,729 F3: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.11 to $0.12, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F4: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.14 to $0.21, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F2: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.12 to $0.15, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F3: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.11 to $0.12, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F4: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Verrica Pharmaceuticals Inc.
Report date December 27, 2023 · Filed December 29, 2023
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 7,099,182 |
Last balance in matching sequence
After 2023-12-29 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2023-12-27 · Purchase · Acquired 79,726 · Balance 6,857,292 F1: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.90 to $7.50 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number shares purchased at each separate price within such range. F4: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 2 · 2023-12-28 · Purchase · Acquired 126,116 · Balance 6,983,408 F2: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.76 to $7.30 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number shares purchased at each separate price within such range. F4: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 3 · 2023-12-29 · Purchase · Acquired 115,774 · Balance 7,099,182 F3: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.02 to $7.32 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number shares purchased at each separate price within such range. F4: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.90 to $7.50 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number shares purchased at each separate price within such range.
F2: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.76 to $7.30 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number shares purchased at each separate price within such range.
F3: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.02 to $7.32 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number shares purchased at each separate price within such range.
F4: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Yarrow Bioscience, Inc.
Report date July 27, 2026 · Filed July 29, 2026
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 266,309 |
Reported balance
Holding disclosure · report date 2026-07-27 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 266,309 F1: The securities are directly held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. Joseph Edelman ("Mr. Edelman") serves as the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of their indirect pecuniary interest therein, and this report shall not be deemed an admission that the Advisor or Mr. Edelman is a beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Pre-Funded Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2026-07-27 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F2: The Pre-Funded Warrants are immediately exercisable and do not expire. The terms of the Pre-Funded Warrants provide that such warrants may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 9.99% of the shares of Common Stock then issued and outstanding after giving effect to such exercise (the "Beneficial Ownership Limitation"). As of the date hereof, the Beneficial Ownership Limitation does not permit the Master Fund (as defined herein) to exercise any of its Warrants. F1: The securities are directly held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. Joseph Edelman ("Mr. Edelman") serves as the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of their indirect pecuniary interest therein, and this report shall not be deemed an admission that the Advisor or Mr. Edelman is a beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. Joseph Edelman ("Mr. Edelman") serves as the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of their indirect pecuniary interest therein, and this report shall not be deemed an admission that the Advisor or Mr. Edelman is a beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F2: The Pre-Funded Warrants are immediately exercisable and do not expire. The terms of the Pre-Funded Warrants provide that such warrants may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 9.99% of the shares of Common Stock then issued and outstanding after giving effect to such exercise (the "Beneficial Ownership Limitation"). As of the date hereof, the Beneficial Ownership Limitation does not permit the Master Fund (as defined herein) to exercise any of its Warrants.
Past disclosures · reporting ended (23)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ADMA BIOLOGICS, INC.
Report date September 28, 2021 · Filed September 30, 2021
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2021-09-30. 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 | 13,262,375 |
Last balance in matching sequence
After 2021-09-30 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2021-09-28 · Sale · Disposed 40,603 · Balance 13,482,375 F1: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.21 to $1.23, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F4: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 2 · 2021-09-29 · Sale · Disposed 82,505 · Balance 13,399,870 F2: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.15 to $1.17, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F4: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 3 · 2021-09-30 · Sale · Disposed 137,495 · Balance 13,262,375 F3: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.11 to $1.15, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F4: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.21 to $1.23, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F2: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.15 to $1.17, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F3: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.11 to $1.15, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F4: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
ALBIREO PHARMA, INC.
Report date October 11, 2022 · Filed October 13, 2022
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2022-10-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,939,723 |
Last balance in matching sequence
After 2022-10-13 transaction · row 7
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
7 source rowsRow 1 · 2022-10-11 · Sale · Disposed 100,340 · Balance 2,259,799 F1: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.75 to $23.715 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F8: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 2 · 2022-10-11 · Sale · Disposed 38,310 · Balance 2,221,489 F2: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.75 to $24.74 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F8: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 3 · 2022-10-11 · Sale · Disposed 5,415 · Balance 2,216,074 F3: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.75 to $24.87 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F8: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 4 · 2022-10-12 · Sale · Disposed 89,979 · Balance 2,126,095 F4: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22 to $22.995 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F8: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 5 · 2022-10-12 · Sale · Disposed 7,240 · Balance 2,118,855 F5: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23 to $23.965 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F8: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 6 · 2022-10-13 · Sale · Disposed 178,726 · Balance 1,940,129 F6: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.74 to $22.73 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F8: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 7 · 2022-10-13 · Sale · Disposed 406 · Balance 1,939,723 F7: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.74 to $22.79 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F8: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.75 to $23.715 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F2: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.75 to $24.74 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F3: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.75 to $24.87 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F4: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22 to $22.995 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F5: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23 to $23.965 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F6: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.74 to $22.73 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F7: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.74 to $22.79 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F8: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
AMICUS THERAPEUTICS, INC.
Report date February 12, 2019 · Filed February 19, 2019
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2019-02-19. 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 | 20,724,424 |
Reported balance
Holding disclosure · report date 2019-02-12 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 20,724,424 F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Acrivon Therapeutics, Inc.
Report date April 30, 2025 · Filed May 01, 2025
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2025-05-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 3,104,139 |
Last balance in matching sequence
After 2025-05-01 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2025-04-30 · Sale · Disposed 437,881 · Balance 3,403,025 F1: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.40 to $1.53 inclusive. The reporting persons undertake to provide Acrivon Therapeutics, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F3: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 2 · 2025-05-01 · Sale · Disposed 298,886 · Balance 3,104,139 F2: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.33 to $1.39 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F3: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.40 to $1.53 inclusive. The reporting persons undertake to provide Acrivon Therapeutics, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F2: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.33 to $1.39 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F3: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Aldeyra Therapeutics, Inc.
Report date April 03, 2025 · Filed April 07, 2025
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2025-04-07. 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 | 5,875,851 |
Reported balance
After 2025-04-03 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-04-03 · Sale · Disposed 3,400,000 · Balance 5,875,851 F1: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.18 to $1.78 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.18 to $1.78 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Aravive, Inc.
Report date September 21, 2017 · Filed September 25, 2017
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2017-09-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,099,563 |
Last balance in matching sequence
After 2017-09-22 transaction · row 7
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
7 source rowsRow 1 · 2017-09-21 · Sale · Disposed 126,579 · Balance 4,102,984 F2: The transaction was executed in multiple trades at prices ranging from $3.50 to $4.00. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 2 · 2017-09-21 · Sale · Disposed 353,421 · Balance 3,749,563 F3: The transaction was executed in multiple trades at prices ranging from $3.30 to $4.00. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 3 · 2017-09-22 · Sale · Disposed 300,000 · Balance 3,449,563 F4: The transaction was executed in multiple trades at prices ranging from $2.95 to $3.25. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 4 · 2017-09-22 · Sale · Disposed 250,000 · Balance 3,199,563 F5: The transaction was executed in multiple trades at prices ranging from $2.90 to $3.125. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 5 · 2017-09-22 · Sale · Disposed 250,000 · Balance 2,949,563 F6: The transaction was executed in multiple trades at prices ranging from $3.15 to $3.20. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 6 · 2017-09-22 · Sale · Disposed 500,000 · Balance 2,449,563 F7: The transaction was executed in multiple trades at prices ranging from $2.95 to $3.75. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 7 · 2017-09-22 · Sale · Disposed 350,000 · Balance 2,099,563 F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
F2: The transaction was executed in multiple trades at prices ranging from $3.50 to $4.00. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F3: The transaction was executed in multiple trades at prices ranging from $3.30 to $4.00. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F4: The transaction was executed in multiple trades at prices ranging from $2.95 to $3.25. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F5: The transaction was executed in multiple trades at prices ranging from $2.90 to $3.125. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F6: The transaction was executed in multiple trades at prices ranging from $3.15 to $3.20. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F7: The transaction was executed in multiple trades at prices ranging from $2.95 to $3.75. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
Astria Therapeutics, Inc.
Report date February 01, 2024 · Filed February 05, 2024
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, Perceptive Xontogeny Venture Fund, LP, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2021-02-04. 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 | 4,873,721 |
Reported balance
After 2024-02-01 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2024-02-01 · Purchase · Acquired 2,481,350 · Balance 4,873,721 F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the :Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,611,699 |
Reported balance
Holding disclosure · report date 2024-02-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,611,699 F2: The securities are directly held by Perceptive Xontogeny Ventures, L.P. ("PXV"). The Advisor serves as the investment manager of PXV, and Perceptive Xontogeny Ventures GP, LLC ("PXV GP") is the general partner of PXV. Mr. Edelman is the managing member of PXV GP and the Advisor. The Advisor, PXV GP and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the :Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
F2: The securities are directly held by Perceptive Xontogeny Ventures, L.P. ("PXV"). The Advisor serves as the investment manager of PXV, and Perceptive Xontogeny Ventures GP, LLC ("PXV GP") is the general partner of PXV. Mr. Edelman is the managing member of PXV GP and the Advisor. The Advisor, PXV GP and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
CARGO Therapeutics, Inc.
Report date November 14, 2023 · Filed November 14, 2023
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, Perceptive Xontogeny Venture Fund II, LP, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2023-11-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 2,579,502 |
Reported balance
After 2023-11-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-11-14 · Conversion · Acquired 2,579,502 · Balance 2,579,502 F1: Each share of the Issuer's Series A-1 convertible preferred stock will automatically convert into shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering. The Series A-1 convertible preferred stock has no expiration date. F2: The securities are directly held by Perceptive Xontogeny Venture Fund II, L.P. ("PXV II"). Perceptive Venture Advisors, LLC (the "Venture Advisor") serves as the investment manager of PXV II and is controlled by Perceptive Advisors LLC (the "Advisor"), and Perceptive Xontogeny Venture II GP, LLC ("PXV GP") is the general partner of PXV II. Mr. Edelman is the managing member of PXV GP and the Advisor. F4: The Venture Advisor, the Advisor, PXV GP and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 2,912,835 |
Reported balance
After 2023-11-14 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-11-14 · Purchase · Acquired 333,333 · Balance 2,912,835 F2: The securities are directly held by Perceptive Xontogeny Venture Fund II, L.P. ("PXV II"). Perceptive Venture Advisors, LLC (the "Venture Advisor") serves as the investment manager of PXV II and is controlled by Perceptive Advisors LLC (the "Advisor"), and Perceptive Xontogeny Venture II GP, LLC ("PXV GP") is the general partner of PXV II. Mr. Edelman is the managing member of PXV GP and the Advisor. F4: The Venture Advisor, the Advisor, PXV GP and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 333,333 |
Reported balance
After 2023-11-14 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-11-14 · Purchase · Acquired 333,333 · Balance 333,333 F3: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). The Advisor serves as the investment manager of Master Fund. F4: The Venture Advisor, the Advisor, PXV GP and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Series A-1 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2023-11-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-11-14 · Conversion · Disposed 2,579,502 · Balance 0 F1: Each share of the Issuer's Series A-1 convertible preferred stock will automatically convert into shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering. The Series A-1 convertible preferred stock has no expiration date. F2: The securities are directly held by Perceptive Xontogeny Venture Fund II, L.P. ("PXV II"). Perceptive Venture Advisors, LLC (the "Venture Advisor") serves as the investment manager of PXV II and is controlled by Perceptive Advisors LLC (the "Advisor"), and Perceptive Xontogeny Venture II GP, LLC ("PXV GP") is the general partner of PXV II. Mr. Edelman is the managing member of PXV GP and the Advisor. F4: The Venture Advisor, the Advisor, PXV GP and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the Issuer's Series A-1 convertible preferred stock will automatically convert into shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering. The Series A-1 convertible preferred stock has no expiration date.
F2: The securities are directly held by Perceptive Xontogeny Venture Fund II, L.P. ("PXV II"). Perceptive Venture Advisors, LLC (the "Venture Advisor") serves as the investment manager of PXV II and is controlled by Perceptive Advisors LLC (the "Advisor"), and Perceptive Xontogeny Venture II GP, LLC ("PXV GP") is the general partner of PXV II. Mr. Edelman is the managing member of PXV GP and the Advisor.
F3: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). The Advisor serves as the investment manager of Master Fund.
F4: The Venture Advisor, the Advisor, PXV GP and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
CHEMBIO DIAGNOSTICS, INC.
Report date April 27, 2023 · Filed May 01, 2023
Jointly reported with Perceptive Credit Advisors, LLC, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2023-05-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2023-04-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-04-27 · Other · Disposed 5,162,782 · Balance 0 F1: The disposition of common stock reported herein in the tender offer and subsequent acquisition of the Issuer completed on April 27, 2023 pursuant to the Agreement and Plan of Merger, dated as of January 31, 2023 with Biosynex SA and Project Merci Merger Sub, Inc., may have been matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 1,344,846 of the shares purchased by the reporting persons between April 4, 2023 and April 25, 2023. The Reporting Persons have agreed to pay to the Issuer $302.20, representing the full amount of the profit realized in connection with the transactions, representing the sales proceeds net of transaction costs. F2: The securities are directly held by Perceptive Credit Holdings II, L.P. (the "Credit Fund"). Perceptive Credit Opportunities GP, LLC is the general partner of the Credit Fund, and Perceptive Credit Advisors LLC ("Credit Advisor") serves as the investment manager of the Credit Fund and as a relying advisor under Perceptive Advisors LLC (the "Advisor"). Joseph Edelman is the managing member of Credit Advisor and the Advisor. The Credit Advisor, the Advisor, and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of its or his indirect pecuniary interest therein, and this report shall not be deemed an admission that the Credit Advisor or Mr. Edelman is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The disposition of common stock reported herein in the tender offer and subsequent acquisition of the Issuer completed on April 27, 2023 pursuant to the Agreement and Plan of Merger, dated as of January 31, 2023 with Biosynex SA and Project Merci Merger Sub, Inc., may have been matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 1,344,846 of the shares purchased by the reporting persons between April 4, 2023 and April 25, 2023. The Reporting Persons have agreed to pay to the Issuer $302.20, representing the full amount of the profit realized in connection with the transactions, representing the sales proceeds net of transaction costs.
F2: The securities are directly held by Perceptive Credit Holdings II, L.P. (the "Credit Fund"). Perceptive Credit Opportunities GP, LLC is the general partner of the Credit Fund, and Perceptive Credit Advisors LLC ("Credit Advisor") serves as the investment manager of the Credit Fund and as a relying advisor under Perceptive Advisors LLC (the "Advisor"). Joseph Edelman is the managing member of Credit Advisor and the Advisor. The Credit Advisor, the Advisor, and Mr. Edelman disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of its or his indirect pecuniary interest therein, and this report shall not be deemed an admission that the Credit Advisor or Mr. Edelman is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
CYPHERPUNK TECHNOLOGIES INC.
Report date September 24, 2021 · Filed September 28, 2021
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2021-09-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnote | 3,508,771 |
Reported balance
After 2021-09-24 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-09-24 · Purchase · Acquired 3,508,771 · Balance 3,508,771 F1: The pre-funded warrants are immediately exercisable, provided that the warrants may not be exercised if the holder and its affiliates would beneficially own in excess of 4.99% of the Issuer's common stock outstanding after giving effect to the exercise. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The pre-funded warrants are immediately exercisable, provided that the warrants may not be exercised if the holder and its affiliates would beneficially own in excess of 4.99% of the Issuer's common stock outstanding after giving effect to the exercise.
F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Corium International, Inc.
Report date October 11, 2018 · Filed October 15, 2018
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2018-10-15. 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 | 2,724,686 |
Last balance in matching sequence
After 2018-10-12 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2018-10-11 · Sale · Disposed 282,447 · Balance 6,074,686 F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 2 · 2018-10-11 · Sale · Disposed 500,000 · Balance 5,574,686 F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 3 · 2018-10-12 · Sale · Disposed 500,000 · Balance 5,074,686 F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 4 · 2018-10-12 · Sale · Disposed 2,350,000 · Balance 2,724,686 F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Dova Pharmaceuticals Inc.
Report date November 12, 2019 · Filed November 16, 2019
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2019-11-16. 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 | 0 |
Reported balance
After 2019-11-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-11-12 · Other · Disposed 3,125,851 · Balance 0 F1: Reflects a disposition of shares in connection with the acquisition of the Issuer by Swedish Orphan Biovitrum AB by a merger pursuant to Section 251(h) of the Delaware General Corporation Law for the merger consideration of $27.50 and one non-transferable CVR per share. F2: The securities were directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects a disposition of shares in connection with the acquisition of the Issuer by Swedish Orphan Biovitrum AB by a merger pursuant to Section 251(h) of the Delaware General Corporation Law for the merger consideration of $27.50 and one non-transferable CVR per share.
F2: The securities were directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Global Blood Therapeutics, Inc.
Report date March 08, 2018 · Filed July 25, 2018
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2018-07-25. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
Kadmon Holdings, Inc.
Report date November 18, 2019 · Filed November 18, 2019
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2019-11-18. 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 | 14,636,334 |
Reported balance
After 2019-11-18 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-11-18 · Purchase · Acquired 1,470,588 · Balance 14,636,334 F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
LA JOLLA PHARMACEUTICAL CO
Report date January 07, 2019 · Filed January 09, 2019
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2019-01-09. 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 | 2,253,376 |
Last balance in matching sequence
After 2019-01-08 transaction · row 11
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
11 source rowsRow 1 · 2019-01-07 · Sale · Disposed 431,644 · Balance 3,881,967 F1: The transaction was executed in multiple trades at prices ranging from $5.22 to $6.21. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 2 · 2019-01-07 · Sale · Disposed 147,497 · Balance 3,734,470 F3: The transaction was executed in multiple trades at prices ranging from $6.22 to $7.21. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 3 · 2019-01-07 · Sale · Disposed 131,866 · Balance 3,602,604 F4: The transaction was executed in multiple trades at prices ranging from $7.22 to $8.21. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 4 · 2019-01-07 · Sale · Disposed 34,401 · Balance 3,568,203 F5: The transaction was executed in multiple trades at prices ranging from $8.36 to $9.29. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 5 · 2019-01-07 · Sale · Disposed 4,592 · Balance 3,563,611 F6: The transaction was executed in multiple trades at prices ranging from $9.36 to $9.70. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 6 · 2019-01-07 · Sale · Disposed 4,200 · Balance 3,559,411 F7: The transaction was executed in multiple trades at prices ranging from $5.24 to $5.27. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 7 · 2019-01-07 · Sale · Disposed 25,800 · Balance 3,533,611 F8: The transaction was executed in multiple trades at prices ranging from $6.46 to $6.47. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 8 · 2019-01-07 · Sale · Disposed 4,200 · Balance 3,529,411 F9: The transaction was executed in multiple trades at prices ranging from $5.24 to $5.27. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 9 · 2019-01-07 · Sale · Disposed 25,800 · Balance 3,503,611 F10: The transaction was executed in multiple trades at prices ranging from $6.46 to $6.47. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 10 · 2019-01-08 · Sale · Disposed 800,000 · Balance 2,703,611 F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 11 · 2019-01-08 · Sale · Disposed 450,235 · Balance 2,253,376 F11: The transaction was executed in multiple trades at prices ranging from $5.01 to $5.72. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The transaction was executed in multiple trades at prices ranging from $5.22 to $6.21. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
F3: The transaction was executed in multiple trades at prices ranging from $6.22 to $7.21. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F4: The transaction was executed in multiple trades at prices ranging from $7.22 to $8.21. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F5: The transaction was executed in multiple trades at prices ranging from $8.36 to $9.29. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F6: The transaction was executed in multiple trades at prices ranging from $9.36 to $9.70. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F7: The transaction was executed in multiple trades at prices ranging from $5.24 to $5.27. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F8: The transaction was executed in multiple trades at prices ranging from $6.46 to $6.47. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F9: The transaction was executed in multiple trades at prices ranging from $5.24 to $5.27. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F10: The transaction was executed in multiple trades at prices ranging from $6.46 to $6.47. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F11: The transaction was executed in multiple trades at prices ranging from $5.01 to $5.72. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
Lyra Therapeutics, Inc.
Report date November 11, 2025 · Filed November 13, 2025
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, Perceptive LS (A), LLC, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2025-11-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 161,318 |
Reported balance
After 2025-11-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-11-11 · Sale · Disposed 4,783 · Balance 161,318 F1: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.25 to $4.61 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range. F2: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. F3: The securities reported in this row are held by the Master Fund. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 18,122 |
Reported balance
After 2025-11-11 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2025-11-11 · Sale · Disposed 537 · Balance 18,122 F1: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.25 to $4.61 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range. F2: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. F4: The securities reported in this row are held by Perceptive LS. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 153,456 |
Reported balance
After 2025-11-12 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2025-11-12 · Sale · Disposed 7,862 · Balance 153,456 F5: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.90 to $4.27 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range. F2: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. F3: The securities reported in this row are held by the Master Fund. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 17,239 |
Reported balance
After 2025-11-12 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2025-11-12 · Sale · Disposed 883 · Balance 17,239 F5: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.90 to $4.27 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range. F2: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. F4: The securities reported in this row are held by Perceptive LS. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 124,859 |
Reported balance
After 2025-11-13 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2025-11-13 · Sale · Disposed 28,597 · Balance 124,859 F6: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.90 to $3.91 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range. F2: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. F3: The securities reported in this row are held by the Master Fund. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 14,026 |
Reported balance
After 2025-11-13 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2025-11-13 · Sale · Disposed 3,213 · Balance 14,026 F6: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.90 to $3.91 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range. F2: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. F4: The securities reported in this row are held by Perceptive LS. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.25 to $4.61 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range.
F2: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
F3: The securities reported in this row are held by the Master Fund.
F4: The securities reported in this row are held by Perceptive LS.
F5: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.90 to $4.27 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range.
F6: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.90 to $3.91 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range.
Motus GI Holdings, Inc.
Report date January 20, 2021 · Filed January 23, 2021
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2021-01-23. 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 | 2,660,542 |
Last balance in matching sequence
After 2021-01-22 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2021-01-20 · Sale · Disposed 325,648 · Balance 3,884,894 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.66 to $2.03, 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. F4: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 2 · 2021-01-21 · Sale · Disposed 674,352 · Balance 3,210,542 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.58 to $1.80, 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. F4: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 3 · 2021-01-22 · Sale · Disposed 550,000 · Balance 2,660,542 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.41 to $1.57, 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. F4: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
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 $1.66 to $2.03, 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.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.58 to $1.80, 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.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.41 to $1.57, 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.
F4: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Orchestra BioMed Holdings, Inc.
Report date August 01, 2025 · Filed August 05, 2025
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2025-08-05. 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 | 5,292,556 |
Reported balance
After 2025-08-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-08-01 · Purchase · Acquired 700,000 · Balance 5,292,556 F1: Represents the purchase price for each share of Common Stock purchased by the Reporting Person in the Issuer's registered public offering that closed on August 1, 2025. F2: The securities are directly held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. Joseph Edelman ("Mr. Edelman") serves as the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of their indirect pecuniary interest therein, and this report shall not be deemed an admission that the Advisor or Mr. Edelman are beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Pre-funded Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnote | 1,500,000 |
Reported balance
After 2025-08-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-08-01 · Purchase · Acquired 1,500,000 · Balance 1,500,000 F4: Represents the purchase price for each pre-funded warrant purchased by the Reporting Person in the Issuer's registered public offering that closed on August 1, 2025. F3: The pre-funded warrants are immediately exercisable and will expire on the date they are exercised in full, subject to the Beneficial Ownership Limitation. F2: The securities are directly held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. Joseph Edelman ("Mr. Edelman") serves as the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of their indirect pecuniary interest therein, and this report shall not be deemed an admission that the Advisor or Mr. Edelman are beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the purchase price for each share of Common Stock purchased by the Reporting Person in the Issuer's registered public offering that closed on August 1, 2025.
F2: The securities are directly held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. Joseph Edelman ("Mr. Edelman") serves as the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of their indirect pecuniary interest therein, and this report shall not be deemed an admission that the Advisor or Mr. Edelman are beneficial owner of such securities for purposes of Section 16 or for any other purposes.
F3: The pre-funded warrants are immediately exercisable and will expire on the date they are exercised in full, subject to the Beneficial Ownership Limitation.
F4: Represents the purchase price for each pre-funded warrant purchased by the Reporting Person in the Issuer's registered public offering that closed on August 1, 2025.
Prometheus Biosciences, Inc.
Report date March 16, 2021 · Filed March 17, 2021
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2021-03-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 3,314,032 |
Last balance in matching sequence
After 2021-03-16 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2021-03-16 · Conversion · Acquired 1,017,770 · Balance 1,017,770 F1: Shares of Series D-1 Preferred Stock and Series D-2 Preferred Stock are convertible at any time, at the holder's election, at a ratio of ten-for-one shares of the Issuer's common stock. Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series D-1 Preferred Stock and Series D-2 Preferred Stock automatically converted at the ratio of ten-for-one shares of the Issuer's common stock. The Series D-1 Preferred Stock and Series D-2 Preferred Stock have no expiration date. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 2 · 2021-03-16 · Conversion · Acquired 1,446,262 · Balance 2,464,032 F1: Shares of Series D-1 Preferred Stock and Series D-2 Preferred Stock are convertible at any time, at the holder's election, at a ratio of ten-for-one shares of the Issuer's common stock. Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series D-1 Preferred Stock and Series D-2 Preferred Stock automatically converted at the ratio of ten-for-one shares of the Issuer's common stock. The Series D-1 Preferred Stock and Series D-2 Preferred Stock have no expiration date. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Row 3 · 2021-03-16 · Purchase · Acquired 850,000 · Balance 3,314,032 F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Series D-1 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2021-03-16 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-03-16 · Conversion · Disposed 10,177,703 · Balance 0 F1: Shares of Series D-1 Preferred Stock and Series D-2 Preferred Stock are convertible at any time, at the holder's election, at a ratio of ten-for-one shares of the Issuer's common stock. Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series D-1 Preferred Stock and Series D-2 Preferred Stock automatically converted at the ratio of ten-for-one shares of the Issuer's common stock. The Series D-1 Preferred Stock and Series D-2 Preferred Stock have no expiration date. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Series D-2 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2021-03-16 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-03-16 · Conversion · Disposed 14,462,623 · Balance 0 F1: Shares of Series D-1 Preferred Stock and Series D-2 Preferred Stock are convertible at any time, at the holder's election, at a ratio of ten-for-one shares of the Issuer's common stock. Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series D-1 Preferred Stock and Series D-2 Preferred Stock automatically converted at the ratio of ten-for-one shares of the Issuer's common stock. The Series D-1 Preferred Stock and Series D-2 Preferred Stock have no expiration date. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares of Series D-1 Preferred Stock and Series D-2 Preferred Stock are convertible at any time, at the holder's election, at a ratio of ten-for-one shares of the Issuer's common stock. Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series D-1 Preferred Stock and Series D-2 Preferred Stock automatically converted at the ratio of ten-for-one shares of the Issuer's common stock. The Series D-1 Preferred Stock and Series D-2 Preferred Stock have no expiration date.
F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Quotient Ltd
Report date October 31, 2022 · Filed November 02, 2022
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2022-11-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares, nil par valueSEC Table I · non-derivative | IndirectSee Footnote | 7,945,211 |
Reported balance
After 2022-10-31 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-10-31 · Sale · Disposed 8,255,607 · Balance 7,945,211 F1: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.078 to $0.088 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range. F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.078 to $0.088 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within such range.
F2: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
SCYNEXIS INC
Report date January 20, 2021 · Filed January 27, 2021
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2021-01-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 2,215,000 |
Reported balance
After 2021-01-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-01-20 · Sale · Disposed 185,000 · Balance 2,215,000 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.26 to $7.85, 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. F5: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 2,120,000 |
Reported balance
After 2021-01-21 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-01-21 · Sale · Disposed 95,000 · Balance 2,120,000 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.27 to $7.50, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. F5: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,833,849 |
Reported balance
After 2021-01-22 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2021-01-22 · Sale · Disposed 285,151 · Balance 1,833,849 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.62 to $8.61, 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. F5: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,800,000 |
Reported balance
After 2021-01-22 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2021-01-22 · Sale · Disposed 33,849 · Balance 1,800,000 F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.62 to $9.07, 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. F5: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
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 $7.26 to $7.85, 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.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.27 to $7.50, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.62 to $8.61, 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.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.62 to $9.07, 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.
F5: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
TALPHERA, INC.
Report date June 19, 2017 · Filed June 21, 2017
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2017-06-21. 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 | 4,533,728 |
Reported balance
After 2017-06-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-06-19 · Sale · Disposed 875,000 · Balance 4,533,728 F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
ZOGENIX, INC.
Report date August 10, 2018 · Filed August 14, 2018
Jointly reported with PERCEPTIVE LIFE SCIENCES MASTER FUND LTD, EDELMAN JOSEPH
Section 16 reporting ended · disclosed 2018-08-14. 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 | 4,070,357 |
Reported balance
After 2018-08-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-08-10 · Purchase · Acquired 100,000 · Balance 4,070,357 F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
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 |
|---|---|---|---|---|---|---|
| January 25, 2021 Filed Jan 27, 2021 22:43 UTC | LeonaBio, Inc. ATHA · Entity 1487 | PurchaseCommon Stock | 311,111 | $22.50 | $6,999,997.50 |
DisclosureSEC source: 0001062993-21-000660 · form4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,425,916 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 22, 2021 Filed Jan 23, 2021 02:12 UTC | Motus GI Holdings, Inc. MOTS · Entity 93100 | SaleCommon Stock | 550,000 | $1.48 | $814,000.00 |
DisclosureSEC source: 0000899243-21-003066 · doc4.xml · nonDerivative · entry 3 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,660,542 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.41 to $1.57, 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. F4 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 22, 2021 Filed Jan 27, 2021 02:57 UTC | SCYNEXIS INC SCYX · Entity 7194 | SaleCommon Stock | 33,849 | $8.95 | $302,948.55 |
DisclosureSEC source: 0000899243-21-003426 · doc4.xml · nonDerivative · entry 4 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,800,000 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.62 to $9.07, 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. F5 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 22, 2021 Filed Jan 27, 2021 02:57 UTC | SCYNEXIS INC SCYX · Entity 7194 | SaleCommon Stock | 285,151 | $8.16 | $2,326,832.16 |
DisclosureSEC source: 0000899243-21-003426 · doc4.xml · nonDerivative · entry 3 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,833,849 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.62 to $8.61, 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. F5 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 21, 2021 Filed Jan 23, 2021 02:12 UTC | Motus GI Holdings, Inc. MOTS · Entity 93100 | SaleCommon Stock | 674,352 | $1.68 | $1,132,911.36 |
DisclosureSEC source: 0000899243-21-003066 · doc4.xml · nonDerivative · entry 2 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,210,542 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.58 to $1.80, 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. F4 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 21, 2021 Filed Jan 27, 2021 02:57 UTC | SCYNEXIS INC SCYX · Entity 7194 | SaleCommon Stock | 95,000 | $7.38 | $701,100.00 |
DisclosureSEC source: 0000899243-21-003426 · doc4.xml · nonDerivative · entry 2 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,120,000 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.27 to $7.50, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. F5 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 20, 2021 Filed Jan 23, 2021 02:12 UTC | Motus GI Holdings, Inc. MOTS · Entity 93100 | SaleCommon Stock | 325,648 | $1.80 | $586,166.40 |
DisclosureSEC source: 0000899243-21-003066 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,884,894 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.66 to $2.03, 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. F4 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 20, 2021 Filed Jan 27, 2021 02:57 UTC | SCYNEXIS INC SCYX · Entity 7194 | SaleCommon Stock | 185,000 | $7.43 | $1,374,550.00 |
DisclosureSEC source: 0000899243-21-003426 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,215,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.26 to $7.85, 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. F5 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 19, 2021 Filed Jan 21, 2021 22:24 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | PurchaseCommon Stock | 1,368,421 | $9.50 | $12,999,999.50 |
DisclosureSEC source: 0001062993-21-000506 · form4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,703,879 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 08, 2021 Filed Jan 12, 2021 02:53 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | PurchaseCommon Stock | 50,000 | $7.60 | $380,000.00 |
DisclosureSEC source: 0001062993-21-000275 · form4.xml · nonDerivative · entry 4 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 7,335,458 F4 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 08, 2021 Filed Jan 12, 2021 02:53 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | PurchaseCommon Stock | 152,668 | $10.21 | $1,558,740.28 |
DisclosureSEC source: 0001062993-21-000275 · form4.xml · nonDerivative · entry 3 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 7,285,458 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.63 to $10.43, 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. F4 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 08, 2021 Filed Jan 12, 2021 02:53 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | PurchaseCommon Stock | 347,332 | $9.21 | $3,198,927.72 |
DisclosureSEC source: 0001062993-21-000275 · form4.xml · nonDerivative · entry 2 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 7,132,790 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.63 to $9.62, 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. F4 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 07, 2021 Filed Jan 12, 2021 02:53 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | PurchaseCommon Stock | 500,000 | $8.13 | $4,065,000.00 |
DisclosureSEC source: 0001062993-21-000275 · form4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 6,785,458 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.49 to $8.44, 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. F4 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| December 10, 2020 Filed Dec 16, 2020 01:21 UTC | Solid Biosciences Inc. SLDB · Entity 4915 | GrantCommon Stock | 4,054,054 | $3.70 | $14,999,999.80 |
DisclosureSEC source: 0000899243-20-033957 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 10,803,857 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| November 23, 2020 Filed Nov 24, 2020 13:00 UTC | MeiraGTx Holdings plc MGTX · Entity 4734 | PurchaseOrdinary Shares | 500,000 | $12.85 | $6,425,000.00 |
DisclosureSEC source: 0000899243-20-032016 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director EDELMAN JOSEPH · CIK 0001164426 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 6,933,277 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 27, 2020 Filed Oct 30, 2020 00:00 UTC | Cerevel Therapeutics Holdings, Inc. CERE · Entity 15182 | PurchaseCommon stock | 3,000,000 | $10.00 | $30,000,000.00 |
DisclosureSEC source: 0000899243-20-029743 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director EDELMAN JOSEPH · CIK 0001164426 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,157,295 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Prior to October 27, 2020, Mr. Edelman served as a director of the Issuer (f/k/a ARYA Sciences Acquisition Corp II prior to its business combination with Cerevel Therapeutics, Inc.). Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 21, 2020 Filed Oct 23, 2020 00:34 UTC | Cerevel Therapeutics Holdings, Inc. ARYB · Entity 15182 | PurchaseClass A ordinary shares | 43,195 | $10.09 | $435,837.55 |
DisclosureSEC source: 0000899243-20-029111 · doc4.xml · nonDerivative · entry 2 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director EDELMAN JOSEPH · CIK 0001164426 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 157,295 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Mr. Edelman serves as a director of the Issuer. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 20, 2020 Filed Oct 23, 2020 00:34 UTC | Cerevel Therapeutics Holdings, Inc. ARYB · Entity 15182 | PurchaseClass A ordinary shares | 114,100 | $10.00 | $1,141,000.00 |
DisclosureSEC source: 0000899243-20-029111 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director EDELMAN JOSEPH · CIK 0001164426 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 114,100 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Mr. Edelman serves as a director of the Issuer. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| September 22, 2020 Filed Sep 22, 2020 23:11 UTC | LeonaBio, Inc. ATHA · Entity 1487 | ConversionSeries B Preferred Stock · Derivative | 1,644,785 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-025964 · doc4.xml · derivative · entry 3 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,644,785 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · price: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. The Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of its indirect pecuniary interest therein, and this report shall not be deemed an admission that the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Joseph Edelman, the managing member of the Advisor, serves as a director of the Issuer and has filed a separate Form 4. Read SEC document |
| September 22, 2020 Filed Sep 22, 2020 23:11 UTC | LeonaBio, Inc. ATHA · Entity 1487 | PurchaseCommon Stock | 1,058,824 | $17.00 | $18,000,008.00 |
DisclosureSEC source: 0000899243-20-025964 · doc4.xml · nonDerivative · entry 2 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,114,805 F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. The Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of its indirect pecuniary interest therein, and this report shall not be deemed an admission that the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Joseph Edelman, the managing member of the Advisor, serves as a director of the Issuer and has filed a separate Form 4. Read SEC document |
| September 22, 2020 Filed Sep 22, 2020 23:11 UTC | LeonaBio, Inc. ATHA · Entity 1487 | ConversionCommon Stock | 1,644,785 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-025964 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,055,981 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. The Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of its indirect pecuniary interest therein, and this report shall not be deemed an admission that the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Joseph Edelman, the managing member of the Advisor, serves as a director of the Issuer and has filed a separate Form 4. Read SEC document |
| September 15, 2020 Filed Sep 16, 2020 12:30 UTC | Quotient Ltd QTNT · Entity 116378 | PurchaseOrdinary Shares | 2,911,764 | $4.25 | $12,374,997.00 |
DisclosureSEC source: 0000899243-20-025269 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 16,200,818 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| September 14, 2020 Filed Sep 14, 2020 19:47 UTC | Athenex, Inc. ATNX · Entity 113753 | PurchaseCommon Stock | 1,800,000 | $11.00 | $19,800,000.00 |
DisclosureSEC source: 0000899243-20-024976 · doc4.xml · nonDerivative · entry 2 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 13,532,467 F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| September 14, 2020 Filed Sep 15, 2020 12:30 UTC | ALBIREO PHARMA, INC. ALBO · Entity 116015 | PurchaseCommon Stock | 400,000 | $40.00 | $16,000,000.00 |
DisclosureSEC source: 0000899243-20-025069 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,360,139 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| September 10, 2020 Filed Sep 14, 2020 19:47 UTC | Athenex, Inc. ATNX · Entity 113753 | PurchaseCommon Stock | 200,000 | $11.24 | $2,248,000.00 |
DisclosureSEC source: 0000899243-20-024976 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 11,732,467 F1 · price: The transaction was executed in multiple trades at prices ranging from $10.985 to $11.40. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| July 09, 2020 Filed Jul 13, 2020 20:30 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | PurchaseCommon Stock | 3,200,000 | $4.25 | $13,600,000.00 |
DisclosureSEC source: 0000899243-20-019004 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 6,285,458 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 22, 2020 Filed Jun 24, 2020 23:00 UTC | CYPHERPUNK TECHNOLOGIES INC. LPTX · Entity 6392 | PurchaseCommon Stock | 1,750,000 | $2.00 | $3,500,000.00 |
DisclosureSEC source: 0000899243-20-017581 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 8,476,496 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 16, 2020 Filed Jun 19, 2020 00:27 UTC | Solid Biosciences Inc. SLDB · Entity 4915 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $3.03 | $0.00 |
DisclosureSEC source: 0000899243-20-017156 · doc4.xml · derivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2030-06-16 F1 · derivative.exercise_date: This option was granted on June 16, 2020 and vests in full on the earlier to occur of June 16, 2021 and immediately prior to the Issuer's first annual meeting of stockholders occurring after the grant date, and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events. F2 · ownership.nature: Consists of options to purchase shares of the Issuer's common stock awarded to Adam Stone in connection with his role as a member of the Issuer's Board of Directors. Mr. Stone is the Chief Investment Officer of Perceptive Advisors, LLC (the "Advisor"). The Advisor may be deemed to have an indirect pecuniary interest in the options to purchase common stock of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Stone's board service through a partial management fee offset. Joseph Edelman is the managing member of the Advisor. F3 · ownership.nature: (continued from footnote 2) Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 23:33 UTC | Yarrow Bioscience, Inc. MNLO · Entity 6871 | PurchaseCommon Stock | 2,702,702 | $1.85 | $4,999,998.70 |
DisclosureSEC source: 0000899243-20-016198 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 22,876,410 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 02, 2020 Filed Jun 5, 2020 01:34 UTC | MeiraGTx Holdings plc MGTX · Entity 4734 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $13.85 | $0.00 |
DisclosureSEC source: 0000899243-20-015341 · doc4.xml · derivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 25,000 Underlying: Ordinary Shares · 25,000 shares Expires 2030-06-01 F1 · derivative.exercise_date: The option shall vest and become exercisable in a single annual installment upon the earlier of (i) June 2, 2021 or (ii) the day immediately prior to the date of the Issuer's annual meeting of shareholders in 2021. F2 · ownership.nature: Consists of options to purchase shares of the Issuer's common stock awarded to Ellen Hukkelhoven in connection with her role as a member of the Issuer's Board of Directors. Ms. Hukkelhoven a Managing Director of Perceptive Advisors, LLC (the "Advisor"). The Advisor may be deemed to have an indirect pecuniary interest in the options to purchase common stock of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Ms. Hukkelhoven's board service through a partial management fee offset. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either F3 · ownership.nature: (continued from footnote 2) Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| May 05, 2020 Filed May 7, 2020 01:10 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | OtherCommon Warrants · Derivative | 339,604 | $0.00 Strike: $8.63 | $0.00 |
DisclosureSEC source: 0000899243-20-012198 · doc4.xml · derivative · entry 12 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner Perceptive LS (A), LLC · CIK 0001797811 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 339,604 shares Expires 2030-01-10 F2 · ownership.nature: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to the Master Fund. Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. F3 · ownership.nature: The securities reported in this row are held by Perceptive LS. Read SEC document |
| May 05, 2020 Filed May 7, 2020 01:10 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | OtherCommon Warrants · Derivative | 141,221 | $0.00 Strike: $8.63 | $0.00 |
DisclosureSEC source: 0000899243-20-012198 · doc4.xml · derivative · entry 11 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner Perceptive LS (A), LLC · CIK 0001797811 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 141,221 shares Expires 2030-01-10 F1 · ownership.nature: The securities reported in this row are held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). F2 · ownership.nature: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to the Master Fund. Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| May 05, 2020 Filed May 7, 2020 01:10 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | ConversionSeries C Convertible Preferred Stock · Derivative | 16,232,511 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-012198 · doc4.xml · derivative · entry 10 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner Perceptive LS (A), LLC · CIK 0001797811 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 470,739 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: The preferred stock was convertible at any time, at the holder's election and had no expiration date. Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F6 · derivative.exercise_date: The preferred stock was convertible at any time, at the holder's election and had no expiration date. Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F6 · derivative.expiration_date: The preferred stock was convertible at any time, at the holder's election and had no expiration date. Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The securities reported in this row are held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). F2 · ownership.nature: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to the Master Fund. Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| May 05, 2020 Filed May 7, 2020 01:10 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | ConversionSeries C Convertible Preferred Stock · Derivative | 39,035,325 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-012198 · doc4.xml · derivative · entry 9 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner Perceptive LS (A), LLC · CIK 0001797811 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 1,132,016 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: The preferred stock was convertible at any time, at the holder's election and had no expiration date. Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F6 · derivative.exercise_date: The preferred stock was convertible at any time, at the holder's election and had no expiration date. Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F6 · derivative.expiration_date: The preferred stock was convertible at any time, at the holder's election and had no expiration date. Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to the Master Fund. Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. F3 · ownership.nature: The securities reported in this row are held by Perceptive LS. Read SEC document |
| May 05, 2020 Filed May 7, 2020 01:10 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | ConversionSeries B Convertible Preferred Stock · Derivative | 26,666,666 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-012198 · doc4.xml · derivative · entry 8 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner Perceptive LS (A), LLC · CIK 0001797811 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 773,327 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: The preferred stock was convertible at any time, at the holder's election and had no expiration date. Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F6 · derivative.exercise_date: The preferred stock was convertible at any time, at the holder's election and had no expiration date. Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F6 · derivative.expiration_date: The preferred stock was convertible at any time, at the holder's election and had no expiration date. Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The securities reported in this row are held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). F2 · ownership.nature: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to the Master Fund. Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| May 05, 2020 Filed May 7, 2020 01:10 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | Tax withholdingCommon Stock | 183,174 | $16.00 | $2,930,784.00 |
DisclosureSEC source: 0000899243-20-012198 · doc4.xml · nonDerivative · entry 7 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner Perceptive LS (A), LLC · CIK 0001797811 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,288,446 F5 · kind: On May 5, 2020, the reporting persons exercised a warrant to purchase 339,604 shares of the Issuer's common stock for $16.00 a share. The reporting person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 183,174 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining shares. The Issuer also paid $1.48 to the reporting person in lieu of a fractional share. F2 · ownership.nature: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to the Master Fund. Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. F3 · ownership.nature: The securities reported in this row are held by Perceptive LS. Read SEC document |
| May 05, 2020 Filed May 7, 2020 01:10 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | OtherCommon Stock | 339,604 | $8.63 | $2,930,782.52 |
DisclosureSEC source: 0000899243-20-012198 · doc4.xml · nonDerivative · entry 6 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner Perceptive LS (A), LLC · CIK 0001797811 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,471,620 F2 · ownership.nature: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to the Master Fund. Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. F3 · ownership.nature: The securities reported in this row are held by Perceptive LS. Read SEC document |
| May 05, 2020 Filed May 7, 2020 01:10 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | Tax withholdingCommon Stock | 76,172 | $16.00 | $1,218,752.00 |
DisclosureSEC source: 0000899243-20-012198 · doc4.xml · nonDerivative · entry 5 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner Perceptive LS (A), LLC · CIK 0001797811 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,309,115 F4 · kind: On May 5, 2020, the reporting persons exercised a warrant to purchsae 141,221 shares of the Issuer's common stock for $16.00 a share. The reporting person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 76,172 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining shares. The Issuer also paid $14.77 to the reporting person in lieu of a fractional share. F1 · ownership.nature: The securities reported in this row are held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). F2 · ownership.nature: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to the Master Fund. Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| May 05, 2020 Filed May 7, 2020 01:10 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | OtherCommon Stock | 141,221 | $8.63 | $1,218,737.23 |
DisclosureSEC source: 0000899243-20-012198 · doc4.xml · nonDerivative · entry 4 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner Perceptive LS (A), LLC · CIK 0001797811 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,385,287 F1 · ownership.nature: The securities reported in this row are held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). F2 · ownership.nature: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to the Master Fund. Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| May 05, 2020 Filed May 7, 2020 01:10 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | ConversionCommon Stock | 470,739 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-012198 · doc4.xml · nonDerivative · entry 3 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner Perceptive LS (A), LLC · CIK 0001797811 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,244,066 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: The securities reported in this row are held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). F2 · ownership.nature: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to the Master Fund. Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| May 05, 2020 Filed May 7, 2020 01:10 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | ConversionCommon Stock | 1,132,016 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-012198 · doc4.xml · nonDerivative · entry 2 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner Perceptive LS (A), LLC · CIK 0001797811 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,132,016 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · ownership.nature: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to the Master Fund. Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. F3 · ownership.nature: The securities reported in this row are held by Perceptive LS. Read SEC document |
| May 05, 2020 Filed May 7, 2020 01:10 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | ConversionCommon Stock | 773,327 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-012198 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner Perceptive LS (A), LLC · CIK 0001797811 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 773,327 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: The securities reported in this row are held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). F2 · ownership.nature: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to the Master Fund. Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| May 05, 2020 Filed May 29, 2020 21:34 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | PurchaseCommon Stock | 625,000 | $16.00 | $10,000,000.00 |
DisclosureSEC source: 0000899243-20-014580 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner Perceptive LS (A), LLC · CIK 0001797811 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,934,115 F1 · ownership.nature: The securities reported in this row are held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). F3 · ownership.nature: Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to the Master Fund. Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS. Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| April 30, 2020 Filed May 2, 2020 01:06 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | GrantStock Option · Derivative | 14,500 | $0.00 Strike: $16.00 | $0.00 |
DisclosureSEC source: 0000899243-20-011787 · doc4.xml · derivative · entry 2 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 14,500 Underlying: Common Stock · 14,500 shares Expires 2030-04-29 F1 · derivative.exercise_date: This option vests and becomes exercisable in 36 equal monthly installments beginning May 30, 2020. F3 · ownership.nature: Consists of options to purchase shares of the Issuer's common stock awarded to Michael Altman in connection with his role as a member of the Issuer's Board of Directors. Mr. Altman is affiliated with the Advisor. The Advisor may be deemed to have an indirect pecuniary interest in the options to purchase common stock of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Altman's board service through a partial management fee offset. F4 · ownership.nature: Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of the securities reported on this form, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| April 30, 2020 Filed May 2, 2020 01:06 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | GrantStock Option · Derivative | 14,500 | $0.00 Strike: $16.00 | $0.00 |
DisclosureSEC source: 0000899243-20-011787 · doc4.xml · derivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 14,500 Underlying: Common Stock · 14,500 shares Expires 2030-04-29 F1 · derivative.exercise_date: This option vests and becomes exercisable in 36 equal monthly installments beginning May 30, 2020. F2 · ownership.nature: Consists of options to purchase shares of the Issuer's common stock awarded to Konstantin Poukalov in connection with his role as a member of the Issuer's Board of Directors. Mr. Poukalov is affiliated with Perceptive Advisors, LLC (the "Advisor"). The Advisor may be deemed to have an indirect pecuniary interest in the options to purchase common stock of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Poukalov's board service through a partial management fee offset. F4 · ownership.nature: Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of the securities reported on this form, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| April 24, 2020 Filed Apr 28, 2020 09:00 UTC | VBI Vaccines Inc/BC VBIV · Entity 111039 | PurchaseCommon Stock | 9,090,909 | $1.10 | $9,999,999.90 |
DisclosureSEC source: 0000899243-20-011371 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 55,042,456 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| April 17, 2020 Filed Apr 20, 2020 12:30 UTC | Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 | PurchaseCommon Stock | 1,071,428 | $14.00 | $14,999,992.00 |
DisclosureSEC source: 0000899243-20-010940 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,659,381 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| March 19, 2020 Filed Mar 23, 2020 12:30 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | PurchaseCommon Stock | 500,000 | $2.10 | $1,050,000.00 |
DisclosureSEC source: 0000899243-20-009225 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 16,584,802 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 19:50 UTC | AGILE THERAPEUTICS INC AGRX · Entity 87994 | PurchaseCommon Stock | 1,000,000 | $1.75 | $1,750,000.00 |
DisclosureSEC source: 0000899243-20-008589 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,919,925 F1 · price: The transaction was executed in multiple trades at prices ranging from $1.56 to $1.96. The price above reflects the weighted average price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| February 25, 2020 Filed Feb 26, 2020 01:10 UTC | AGILE THERAPEUTICS INC AGRX · Entity 87994 | PurchaseCommon Stock | 3,000,000 | $3.00 | $9,000,000.00 |
DisclosureSEC source: 0000899243-20-005836 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 14,919,925 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. F4 · ownership.nature: Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of the securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. 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.