Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CONSTELLATION PHARMACEUTICALS INCCNST · Entity 137050 | 10% owner | December 13, 2019 | December 16, 2019 |
| Cogent Biosciences, Inc.UMRX · Entity 3793 | 10% owner | August 14, 2020 | August 18, 2020 |
| Instil Bio, Inc.TIL · Entity 7177 | Director | March 23, 2021 | March 25, 2021 |
| Korsana Biosciences, Inc.KRSA · Entity 7698 | Director | September 09, 2026 | September 10, 2026 |
| Oruka Therapeutics, Inc.ORKA · Entity 3781 | 10% owner | February 10, 2025 | February 27, 2025 |
| Shockwave Medical, Inc.SWAV · Entity 90374 | 10% owner | March 11, 2019 | March 13, 2019 |
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.
CONSTELLATION PHARMACEUTICALS INC
Report date December 13, 2019 · Filed December 16, 2019
Jointly reported with Venrock Healthcare Capital Partners III, L.P., VHCP Co-Investment Holdings III, LLC, VHCP Management III, LLC, Venrock Healthcare Capital Partners II, L.P., VHCP Co-Investment Holdings II, LLC, VHCP Management II, LLC, Koh Bong Y
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Funds | 4,016,873 |
Reported balance
After 2019-12-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-12-13 · Purchase · Acquired 400,000 · Balance 4,016,873 F1: Consists of an aggregate of 363,640 shares of Common Stock purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III") and 36,360 shares of Common Stock purchased by VHCP Co-Investment Holdings III, LLC ("Co-Invest III") (collectively, the "VHCP III Funds"). F2: Consists of an aggregate of 2,287,598 shares of Common Stock held by VHCP III, 228,644 shares of Common Stock held by Co-Invest III, 1,067,801 shares of Common Stock held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and 432,830 shares of Common Stock held by VHCP Co-Investment Holdings II, LLC ("Co-Invest II" and collectively with VHCP II and the VHCP III Funds, the "VHCP Funds"). F3: VHCP Management III, LLC ("VHCPM III") is the sole general partner and the sole manager of VHCP III and Co-Invest III, respectively, and may be deemed to own the shares held by VHCP III and Co-Invest III. VHCP Management II, LLC ("VHCPM II") is the sole general partner and the sole manager of VHCP II and Co-Invest II, respectively, and may be deemed to own the shares held by VHCP II and Co-Invest II. Bong Koh and Nimish Shah are the voting members of VHCPM III and VHCPM II. Drs. Koh and Shah, VHCPM II and VHCPM III disclaim beneficial ownership over all shares held by the VHCP Funds except to the extent of their indirect proportionate pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of an aggregate of 363,640 shares of Common Stock purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III") and 36,360 shares of Common Stock purchased by VHCP Co-Investment Holdings III, LLC ("Co-Invest III") (collectively, the "VHCP III Funds").
F2: Consists of an aggregate of 2,287,598 shares of Common Stock held by VHCP III, 228,644 shares of Common Stock held by Co-Invest III, 1,067,801 shares of Common Stock held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and 432,830 shares of Common Stock held by VHCP Co-Investment Holdings II, LLC ("Co-Invest II" and collectively with VHCP II and the VHCP III Funds, the "VHCP Funds").
F3: VHCP Management III, LLC ("VHCPM III") is the sole general partner and the sole manager of VHCP III and Co-Invest III, respectively, and may be deemed to own the shares held by VHCP III and Co-Invest III. VHCP Management II, LLC ("VHCPM II") is the sole general partner and the sole manager of VHCP II and Co-Invest II, respectively, and may be deemed to own the shares held by VHCP II and Co-Invest II. Bong Koh and Nimish Shah are the voting members of VHCPM III and VHCPM II. Drs. Koh and Shah, VHCPM II and VHCPM III disclaim beneficial ownership over all shares held by the VHCP Funds except to the extent of their indirect proportionate pecuniary interest therein.
Cogent Biosciences, Inc.
Report date August 14, 2020 · Filed August 18, 2020
Jointly reported with Venrock Healthcare Capital Partners III, L.P., Venrock Healthcare Capital Partners II, L.P., VHCP Co-Investment Holdings II, LLC, VHCP Co-Investment Holdings III, LLC, VHCP Management II, LLC, VHCP Management III, LLC, Koh Bong Y
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy funds | 4,004,273 |
Reported balance
After 2020-08-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-08-14 · Purchase · Acquired 100,000 · Balance 4,004,273 F1: Consists of (i) 26,430 shares purchased by Venrock Healthcare Capital Partners II, LP; (ii) 10,710 shares purchased by VHCP Co-Investment Holdings II, LLC; (iii) 57,150 shares purchased by Venrock Healthcare Capital Partners III, LP; and (iv) 5,710 shares purchased by VHCP Co-Investment Holdings III, LLC. F2: Consists of (i) 1,058,331 shares owned by Venrock Healthcare Capital Partners II, LP; (ii) 428,853 shares owned by VHCP Co-Investment Holdings II, LLC; (iii) 2,288,445 shares owned by Venrock Healthcare Capital Partners III, LP; and (iv) 228,644 shares owned by VHCP Co-Investment Holdings III, LLC. F3: VHCP Management II, LLC ("VHCPM2") is the general partner of Venrock Healthcare Capital Associates II, LP and the manager of VHCP Co-Investment Holdings II, LLC. VHCP Management III, LLC ("VHCPM3") is the general partner of Venrock Healthcare Capital Partners III, LP and the manager of VHCP Co-Investment Holdings III, LLC. Bong Koh and Nimish Shah are the voting members of VHCPM2 and VHCPM3. Each of VHCPM2, VHCPM3, Bong Koh and Nimish Shah (together, the "Managers") may be deemed to beneficially own these shares, but each of the Managers expressly disclaims beneficial ownership over these shares except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectBy funds | 4,254,273 |
Reported balance
After 2020-08-17 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-08-17 · Purchase · Acquired 250,000 · Balance 4,254,273 F4: Consists of (i) 66,075 shares purchased by Venrock Healthcare Capital Partners II, LP; (ii) 26,775 shares purchased by VHCP Co-Investment Holdings II, LLC; (iii) 142,875 shares purchased by Venrock Healthcare Capital Partners III, LP; and (iv) 14,275 shares purchased by VHCP Co-Investment Holdings III, LLC. F3: VHCP Management II, LLC ("VHCPM2") is the general partner of Venrock Healthcare Capital Associates II, LP and the manager of VHCP Co-Investment Holdings II, LLC. VHCP Management III, LLC ("VHCPM3") is the general partner of Venrock Healthcare Capital Partners III, LP and the manager of VHCP Co-Investment Holdings III, LLC. Bong Koh and Nimish Shah are the voting members of VHCPM2 and VHCPM3. Each of VHCPM2, VHCPM3, Bong Koh and Nimish Shah (together, the "Managers") may be deemed to beneficially own these shares, but each of the Managers expressly disclaims beneficial ownership over these shares except to the extent of their respective pecuniary interests therein. F5: Consists of (i) 1,124,406 shares owned by Venrock Healthcare Capital Partners II, LP; (ii) 455,628 shares owned by VHCP Co-Investment Holdings II, LLC; (iii) 2,431,320 shares owned by Venrock Healthcare Capital Partners III, LP; and (iv) 242,919 shares owned by VHCP Co-Investment Holdings III, LLC. |
| Common StockSEC Table I · non-derivative | IndirectBy funds | 4,355,273 |
Reported balance
After 2020-08-18 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2020-08-18 · Purchase · Acquired 101,000 · Balance 4,355,273 F6: Consists of (i) 26,694 shares purchased by Venrock Healthcare Capital Partners II, LP; (ii) 10,817 shares purchased by VHCP Co-Investment Holdings II, LLC; (iii) 57,722 shares purchased by Venrock Healthcare Capital Partners III, LP; and (iv) 5,767 shares purchased by VHCP Co-Investment Holdings III, LLC. F3: VHCP Management II, LLC ("VHCPM2") is the general partner of Venrock Healthcare Capital Associates II, LP and the manager of VHCP Co-Investment Holdings II, LLC. VHCP Management III, LLC ("VHCPM3") is the general partner of Venrock Healthcare Capital Partners III, LP and the manager of VHCP Co-Investment Holdings III, LLC. Bong Koh and Nimish Shah are the voting members of VHCPM2 and VHCPM3. Each of VHCPM2, VHCPM3, Bong Koh and Nimish Shah (together, the "Managers") may be deemed to beneficially own these shares, but each of the Managers expressly disclaims beneficial ownership over these shares except to the extent of their respective pecuniary interests therein. F7: Consists of (i) 1,151,100 shares owned by Venrock Healthcare Capital Partners II, LP; (ii) 466,445 shares owned by VHCP Co-Investment Holdings II, LLC; (iii) 2,489,042 shares owned by Venrock Healthcare Capital Partners III, LP; and (iv) 248,686 shares owned by VHCP Co-Investment Holdings III, LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of (i) 26,430 shares purchased by Venrock Healthcare Capital Partners II, LP; (ii) 10,710 shares purchased by VHCP Co-Investment Holdings II, LLC; (iii) 57,150 shares purchased by Venrock Healthcare Capital Partners III, LP; and (iv) 5,710 shares purchased by VHCP Co-Investment Holdings III, LLC.
F2: Consists of (i) 1,058,331 shares owned by Venrock Healthcare Capital Partners II, LP; (ii) 428,853 shares owned by VHCP Co-Investment Holdings II, LLC; (iii) 2,288,445 shares owned by Venrock Healthcare Capital Partners III, LP; and (iv) 228,644 shares owned by VHCP Co-Investment Holdings III, LLC.
F3: VHCP Management II, LLC ("VHCPM2") is the general partner of Venrock Healthcare Capital Associates II, LP and the manager of VHCP Co-Investment Holdings II, LLC. VHCP Management III, LLC ("VHCPM3") is the general partner of Venrock Healthcare Capital Partners III, LP and the manager of VHCP Co-Investment Holdings III, LLC. Bong Koh and Nimish Shah are the voting members of VHCPM2 and VHCPM3. Each of VHCPM2, VHCPM3, Bong Koh and Nimish Shah (together, the "Managers") may be deemed to beneficially own these shares, but each of the Managers expressly disclaims beneficial ownership over these shares except to the extent of their respective pecuniary interests therein.
F4: Consists of (i) 66,075 shares purchased by Venrock Healthcare Capital Partners II, LP; (ii) 26,775 shares purchased by VHCP Co-Investment Holdings II, LLC; (iii) 142,875 shares purchased by Venrock Healthcare Capital Partners III, LP; and (iv) 14,275 shares purchased by VHCP Co-Investment Holdings III, LLC.
F5: Consists of (i) 1,124,406 shares owned by Venrock Healthcare Capital Partners II, LP; (ii) 455,628 shares owned by VHCP Co-Investment Holdings II, LLC; (iii) 2,431,320 shares owned by Venrock Healthcare Capital Partners III, LP; and (iv) 242,919 shares owned by VHCP Co-Investment Holdings III, LLC.
F6: Consists of (i) 26,694 shares purchased by Venrock Healthcare Capital Partners II, LP; (ii) 10,817 shares purchased by VHCP Co-Investment Holdings II, LLC; (iii) 57,722 shares purchased by Venrock Healthcare Capital Partners III, LP; and (iv) 5,767 shares purchased by VHCP Co-Investment Holdings III, LLC.
F7: Consists of (i) 1,151,100 shares owned by Venrock Healthcare Capital Partners II, LP; (ii) 466,445 shares owned by VHCP Co-Investment Holdings II, LLC; (iii) 2,489,042 shares owned by Venrock Healthcare Capital Partners III, LP; and (iv) 248,686 shares owned by VHCP Co-Investment Holdings III, LLC.
Instil Bio, Inc.
Report date March 23, 2021 · Filed March 25, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 5,100,866 |
Reported balance
After 2021-03-23 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-03-23 · Conversion · Acquired 5,100,866 · Balance 5,100,866 F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F2: The securities are held by Venrock Healthcare Capital Partners III, L.P. ("Partners III"). VHCP Management III, LLC ("Management III") is the sole general partner of Partners III. The Reporting Person is a voting member of Management III and may be deemed to share voting and investment power with respect to the shares held by Partners III and disclaims Section 16 beneficial ownership of such securities held by Partners III, except to the extent of his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 510,030 |
Reported balance
After 2021-03-23 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2021-03-23 · Conversion · Acquired 510,030 · Balance 510,030 F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F3: The shares are held by VHCP Co-Investment Holdings III, LLC ("Holdings III"). Management III is the manager of Holdings III. The Reporting Person is a voting member of Management III and may be deemed to share voting and investment power with respect to the shares held by Holdings III and disclaims Section 16 beneficial ownership of such securities held by Holdings III, except to the extent of his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 5,531,297 |
Reported balance
After 2021-03-23 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2021-03-23 · Conversion · Acquired 430,431 · Balance 5,531,297 F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F2: The securities are held by Venrock Healthcare Capital Partners III, L.P. ("Partners III"). VHCP Management III, LLC ("Management III") is the sole general partner of Partners III. The Reporting Person is a voting member of Management III and may be deemed to share voting and investment power with respect to the shares held by Partners III and disclaims Section 16 beneficial ownership of such securities held by Partners III, except to the extent of his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 553,063 |
Reported balance
After 2021-03-23 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2021-03-23 · Conversion · Acquired 43,033 · Balance 553,063 F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F3: The shares are held by VHCP Co-Investment Holdings III, LLC ("Holdings III"). Management III is the manager of Holdings III. The Reporting Person is a voting member of Management III and may be deemed to share voting and investment power with respect to the shares held by Holdings III and disclaims Section 16 beneficial ownership of such securities held by Holdings III, except to the extent of his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 480,716 |
Reported balance
After 2021-03-23 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2021-03-23 · Conversion · Acquired 480,716 · Balance 480,716 F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F4: The securities are held by Venrock Healthcare Capital Partners EG, L.P. ("Partners EG"). VHCP Management EG, LLC ("Management EG") is the sole general partner of Partners EG. The Reporting Person is a voting member of Management EG and may be deemed to share voting and investment power with respect to the shares held by Partners EG and disclaims Section 16 beneficial ownership of such securities held by Partners EG, except to the extent of his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 5,635,937 |
Reported balance
After 2021-03-23 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 6 · 2021-03-23 · Purchase · Acquired 104,640 · Balance 5,635,937 F2: The securities are held by Venrock Healthcare Capital Partners III, L.P. ("Partners III"). VHCP Management III, LLC ("Management III") is the sole general partner of Partners III. The Reporting Person is a voting member of Management III and may be deemed to share voting and investment power with respect to the shares held by Partners III and disclaims Section 16 beneficial ownership of such securities held by Partners III, except to the extent of his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 563,533 |
Reported balance
After 2021-03-23 transaction · row 7
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 7 · 2021-03-23 · Purchase · Acquired 10,470 · Balance 563,533 F3: The shares are held by VHCP Co-Investment Holdings III, LLC ("Holdings III"). Management III is the manager of Holdings III. The Reporting Person is a voting member of Management III and may be deemed to share voting and investment power with respect to the shares held by Holdings III and disclaims Section 16 beneficial ownership of such securities held by Holdings III, except to the extent of his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 597,596 |
Reported balance
After 2021-03-23 transaction · row 8
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 8 · 2021-03-23 · Purchase · Acquired 116,880 · Balance 597,596 F4: The securities are held by Venrock Healthcare Capital Partners EG, L.P. ("Partners EG"). VHCP Management EG, LLC ("Management EG") is the sole general partner of Partners EG. The Reporting Person is a voting member of Management EG and may be deemed to share voting and investment power with respect to the shares held by Partners EG and disclaims Section 16 beneficial ownership of such securities held by Partners EG, except to the extent of his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 48,390 |
Reported balance
After 2021-03-23 transaction · row 9
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 9 · 2021-03-23 · Purchase · Acquired 48,390 · Balance 48,390 F5: The securities are held by Venrock Healthcare Capital Partners II, L.P. ("Partners II"). VHCP Management II, LLC ("Management II") is the sole general partner of Partners II. The Reporting Person is a voting member of Management II and may be deemed to share voting and investment power with respect to the shares held by Partners II and disclaims Section 16 beneficial ownership of such securities held by Partners II, except to the extent of his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 19,620 |
Reported balance
After 2021-03-23 transaction · row 10
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 10 · 2021-03-23 · Purchase · Acquired 19,620 · Balance 19,620 F6: The shares are held by VHCP Co-Investment Holdings II, LLC ("Holdings II"). Management II is the manager of Holdings II. The Reporting Person is a voting member of Management II and may be deemed to share voting and investment power with respect to the shares held by Holdings II and disclaims Section 16 beneficial ownership of such securities held by Holdings II, except to the extent of his pecuniary interest therein, if any. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2021-03-23 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2021-03-23 · Conversion · Disposed 4,250,722 · Balance 0 F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F2: The securities are held by Venrock Healthcare Capital Partners III, L.P. ("Partners III"). VHCP Management III, LLC ("Management III") is the sole general partner of Partners III. The Reporting Person is a voting member of Management III and may be deemed to share voting and investment power with respect to the shares held by Partners III and disclaims Section 16 beneficial ownership of such securities held by Partners III, except to the extent of his pecuniary interest therein, if any. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2021-03-23 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2021-03-23 · Conversion · Disposed 425,025 · Balance 0 F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F3: The shares are held by VHCP Co-Investment Holdings III, LLC ("Holdings III"). Management III is the manager of Holdings III. The Reporting Person is a voting member of Management III and may be deemed to share voting and investment power with respect to the shares held by Holdings III and disclaims Section 16 beneficial ownership of such securities held by Holdings III, except to the extent of his pecuniary interest therein, if any. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2021-03-23 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2021-03-23 · Conversion · Disposed 358,693 · Balance 0 F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F2: The securities are held by Venrock Healthcare Capital Partners III, L.P. ("Partners III"). VHCP Management III, LLC ("Management III") is the sole general partner of Partners III. The Reporting Person is a voting member of Management III and may be deemed to share voting and investment power with respect to the shares held by Partners III and disclaims Section 16 beneficial ownership of such securities held by Partners III, except to the extent of his pecuniary interest therein, if any. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2021-03-23 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2021-03-23 · Conversion · Disposed 35,861 · Balance 0 F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F3: The shares are held by VHCP Co-Investment Holdings III, LLC ("Holdings III"). Management III is the manager of Holdings III. The Reporting Person is a voting member of Management III and may be deemed to share voting and investment power with respect to the shares held by Holdings III and disclaims Section 16 beneficial ownership of such securities held by Holdings III, except to the extent of his pecuniary interest therein, if any. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2021-03-23 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2021-03-23 · Conversion · Disposed 400,597 · Balance 0 F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F4: The securities are held by Venrock Healthcare Capital Partners EG, L.P. ("Partners EG"). VHCP Management EG, LLC ("Management EG") is the sole general partner of Partners EG. The Reporting Person is a voting member of Management EG and may be deemed to share voting and investment power with respect to the shares held by Partners EG and disclaims Section 16 beneficial ownership of such securities held by Partners EG, except to the extent of his pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date.
F2: The securities are held by Venrock Healthcare Capital Partners III, L.P. ("Partners III"). VHCP Management III, LLC ("Management III") is the sole general partner of Partners III. The Reporting Person is a voting member of Management III and may be deemed to share voting and investment power with respect to the shares held by Partners III and disclaims Section 16 beneficial ownership of such securities held by Partners III, except to the extent of his pecuniary interest therein, if any.
F3: The shares are held by VHCP Co-Investment Holdings III, LLC ("Holdings III"). Management III is the manager of Holdings III. The Reporting Person is a voting member of Management III and may be deemed to share voting and investment power with respect to the shares held by Holdings III and disclaims Section 16 beneficial ownership of such securities held by Holdings III, except to the extent of his pecuniary interest therein, if any.
F4: The securities are held by Venrock Healthcare Capital Partners EG, L.P. ("Partners EG"). VHCP Management EG, LLC ("Management EG") is the sole general partner of Partners EG. The Reporting Person is a voting member of Management EG and may be deemed to share voting and investment power with respect to the shares held by Partners EG and disclaims Section 16 beneficial ownership of such securities held by Partners EG, except to the extent of his pecuniary interest therein, if any.
F5: The securities are held by Venrock Healthcare Capital Partners II, L.P. ("Partners II"). VHCP Management II, LLC ("Management II") is the sole general partner of Partners II. The Reporting Person is a voting member of Management II and may be deemed to share voting and investment power with respect to the shares held by Partners II and disclaims Section 16 beneficial ownership of such securities held by Partners II, except to the extent of his pecuniary interest therein, if any.
F6: The shares are held by VHCP Co-Investment Holdings II, LLC ("Holdings II"). Management II is the manager of Holdings II. The Reporting Person is a voting member of Management II and may be deemed to share voting and investment power with respect to the shares held by Holdings II and disclaims Section 16 beneficial ownership of such securities held by Holdings II, except to the extent of his pecuniary interest therein, if any.
Korsana Biosciences, Inc.
Report date September 09, 2026 · Filed September 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $26.20 · Expires 2036-09-09 | Direct | 48,445 |
Reported balance
After 2026-09-09 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-09-09 · Grant · Acquired 48,445 · Balance 48,445 F1: This option represents the right to purchase 48,445 shares of the Issuer's common stock and will vest in equal monthly installments through September 9, 2029, subject to the Reporting Person's continued service to the Issuer on each such vesting date. F2: Under an agreement between the Reporting Person and Venrock Management, LLC (the "Management Company"), the Reporting Person is deemed to hold the reported option and the shares underlying the option for the sole benefit of the Management Company and must exercise the reported option solely upon the direction of the Management Company, which is entitled to the shares underlying the option. The Management Company may be deemed the indirect beneficial owner of the shares underlying the option, and the Reporting Person may be deemed the indirect beneficial owner of the reported shares underlying the option through his interest in the Management Company. The Reporting Person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This option represents the right to purchase 48,445 shares of the Issuer's common stock and will vest in equal monthly installments through September 9, 2029, subject to the Reporting Person's continued service to the Issuer on each such vesting date.
F2: Under an agreement between the Reporting Person and Venrock Management, LLC (the "Management Company"), the Reporting Person is deemed to hold the reported option and the shares underlying the option for the sole benefit of the Management Company and must exercise the reported option solely upon the direction of the Management Company, which is entitled to the shares underlying the option. The Management Company may be deemed the indirect beneficial owner of the shares underlying the option, and the Reporting Person may be deemed the indirect beneficial owner of the reported shares underlying the option through his interest in the Management Company. The Reporting Person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein.
Oruka Therapeutics, Inc.
Report date February 10, 2025 · Filed February 27, 2025
Jointly reported with Venrock Healthcare Capital Partners III, L.P., VHCP Co-Investment Holdings III, LLC, VHCP Management EG, LLC, Venrock Healthcare Capital Partners EG, L.P., VHCP Management III, LLC, Koh Bong Y
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Funds | 4,026,120 |
Reported balance
After 2025-02-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-02-10 · Purchase · Acquired 574 · Balance 4,026,120 F1: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $10.88 to $11.00 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities purchased at each separate price within the range set forth in this footnote. F2: Consists of (i) 835,614 shares held by VHCP3; (ii) 83,701 shares held by VHCP Co-3; and (iii) 3,106,805 shares held by VHCP EG. F3: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these securities. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these securities. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these securities. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these securities except to the extent of its or his indirect pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Funds | 4,035,713 |
Reported balance
After 2025-02-11 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2025-02-11 · Purchase · Acquired 9,593 · Balance 4,035,713 F4: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $10.86 to $11.00 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities purchased at each separate price within the range set forth in this footnote. F5: Consists of (i) 837,271 shares held by VHCP3; (ii) 83,867 shares held by VHCP Co-3; and (iii) 3,114,575 shares held by VHCP EG. F3: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these securities. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these securities. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these securities. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these securities except to the extent of its or his indirect pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Funds | 4,044,684 |
Reported balance
After 2025-02-12 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2025-02-12 · Purchase · Acquired 8,971 · Balance 4,044,684 F6: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $11.25 to $12.00 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities purchased at each separate price within the range set forth in this footnote. F7: Consists of (i) 838,821 shares held by VHCP3; (ii) 84,022 shares held by VHCP Co-3; and (iii) 3,121,841 shares held by VHCP EG. F3: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these securities. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these securities. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these securities. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these securities except to the extent of its or his indirect pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Funds | 4,059,634 |
Reported balance
After 2025-02-13 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2025-02-13 · Purchase · Acquired 14,950 · Balance 4,059,634 F8: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $11.31 to $11.74 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities purchased at each separate price within the range set forth in this footnote. F9: Consists of (i) 841,404 shares held by VHCP3; (ii) 84,280 shares held by VHCP Co-3; and (iii) 3,133,950 shares held by VHCP EG. F3: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these securities. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these securities. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these securities. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these securities except to the extent of its or his indirect pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Funds | 4,148,428 |
Reported balance
After 2025-02-14 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2025-02-14 · Purchase · Acquired 88,794 · Balance 4,148,428 F10: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $11.17 to $11.45 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities purchased at each separate price within the range set forth in this footnote. F11: Consists of (i) 856,747 shares held by VHCP3; (ii) 85,816 shares held by VHCP Co-3; and (iii) 3,205,865 shares held by VHCP EG. F3: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these securities. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these securities. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these securities. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these securities except to the extent of its or his indirect pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $10.88 to $11.00 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities purchased at each separate price within the range set forth in this footnote.
F2: Consists of (i) 835,614 shares held by VHCP3; (ii) 83,701 shares held by VHCP Co-3; and (iii) 3,106,805 shares held by VHCP EG.
F3: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these securities. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these securities. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these securities. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these securities except to the extent of its or his indirect pecuniary interest therein.
F4: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $10.86 to $11.00 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities purchased at each separate price within the range set forth in this footnote.
F5: Consists of (i) 837,271 shares held by VHCP3; (ii) 83,867 shares held by VHCP Co-3; and (iii) 3,114,575 shares held by VHCP EG.
F6: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $11.25 to $12.00 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities purchased at each separate price within the range set forth in this footnote.
F7: Consists of (i) 838,821 shares held by VHCP3; (ii) 84,022 shares held by VHCP Co-3; and (iii) 3,121,841 shares held by VHCP EG.
F8: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $11.31 to $11.74 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities purchased at each separate price within the range set forth in this footnote.
F9: Consists of (i) 841,404 shares held by VHCP3; (ii) 84,280 shares held by VHCP Co-3; and (iii) 3,133,950 shares held by VHCP EG.
F10: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $11.17 to $11.45 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities purchased at each separate price within the range set forth in this footnote.
F11: Consists of (i) 856,747 shares held by VHCP3; (ii) 85,816 shares held by VHCP Co-3; and (iii) 3,205,865 shares held by VHCP EG.
Shockwave Medical, Inc.
Report date March 11, 2019 · Filed March 13, 2019
Jointly reported with Venrock Associates VII, L.P., Venrock Healthcare Capital Partners II, L.P., Venrock Partners VII, L.P., VHCP Co-Investment Holdings II, LLC, Venrock Management VII, LLC, Koh Bong Y, VHCP Management II, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Funds | 2,122,021 |
Last balance in matching sequence
After 2019-03-11 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2019-03-11 · Conversion · Acquired 1,105,529 · Balance 1,105,529 F1: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date. F4: Venrock Management VII, LLC ("VM7") is the sole general partner of Venrock Associates VII, L.P. ("VA7") and Venrock Partners VII, L.P. ("VP7") and may be deemed to beneficially own these shares and expressly disclaims beneficial ownership over all shares held by VA7 and VP7 except to the extent of its indirect pecuniary interest therein. VHCP Management II, LLC is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP2") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-Invest 2"), may be deemed to beneficially own these shares and expressly disclaims beneficial ownership over all shares held by VHCP2 and VHCP Co-Invest 2 except to the extent of its indirect pecuniary interest therein. Bong Koh and Nimish Shah are the managing members of VHCP Management II, LLC. Drs. Koh and Shah expressly disclaim beneficial ownership over all shares held by VHCP2 and VHCP Co-Invest 2 except to the extent of their indirect pecuniary interests therein. Row 2 · 2019-03-11 · Conversion · Acquired 1,016,492 · Balance 2,122,021 F1: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date. F4: Venrock Management VII, LLC ("VM7") is the sole general partner of Venrock Associates VII, L.P. ("VA7") and Venrock Partners VII, L.P. ("VP7") and may be deemed to beneficially own these shares and expressly disclaims beneficial ownership over all shares held by VA7 and VP7 except to the extent of its indirect pecuniary interest therein. VHCP Management II, LLC is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP2") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-Invest 2"), may be deemed to beneficially own these shares and expressly disclaims beneficial ownership over all shares held by VHCP2 and VHCP Co-Invest 2 except to the extent of its indirect pecuniary interest therein. Bong Koh and Nimish Shah are the managing members of VHCP Management II, LLC. Drs. Koh and Shah expressly disclaim beneficial ownership over all shares held by VHCP2 and VHCP Co-Invest 2 except to the extent of their indirect pecuniary interests therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy Funds | 0 |
Reported balance
After 2019-03-11 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-03-11 · Conversion · Acquired 1,105,529 · Balance 0 F1: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date. F2: Consists of 745,139 shares of convertible preferred stock held by Venrock Associates VII, L.P., 212,500 shares of convertible preferred stock held by Venrock Healthcare Capital Partners II, L.P., 61,725 shares of convertible preferred stock held by Venrock Partners VII, L.P. and 86,165 shares of convertible preferred stock held by VHCP Co-Investment Holdings II, LLC. F4: Venrock Management VII, LLC ("VM7") is the sole general partner of Venrock Associates VII, L.P. ("VA7") and Venrock Partners VII, L.P. ("VP7") and may be deemed to beneficially own these shares and expressly disclaims beneficial ownership over all shares held by VA7 and VP7 except to the extent of its indirect pecuniary interest therein. VHCP Management II, LLC is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP2") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-Invest 2"), may be deemed to beneficially own these shares and expressly disclaims beneficial ownership over all shares held by VHCP2 and VHCP Co-Invest 2 except to the extent of its indirect pecuniary interest therein. Bong Koh and Nimish Shah are the managing members of VHCP Management II, LLC. Drs. Koh and Shah expressly disclaim beneficial ownership over all shares held by VHCP2 and VHCP Co-Invest 2 except to the extent of their indirect pecuniary interests therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy Funds | 0 |
Reported balance
After 2019-03-11 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-03-11 · Conversion · Acquired 1,016,492 · Balance 0 F1: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date. F3: Consists of 382,238 shares of convertible preferred stock held by Venrock Associates VII, L.P., 428,744 shares of convertible preferred stock held by Venrock Healthcare Capital Partners II, L.P., 31,663 shares of convertible preferred stock held by Venrock Partners VII, L.P. and 173,847 shares of convertible preferred stock held by VHCP Co-Investment Holdings II, LLC. F4: Venrock Management VII, LLC ("VM7") is the sole general partner of Venrock Associates VII, L.P. ("VA7") and Venrock Partners VII, L.P. ("VP7") and may be deemed to beneficially own these shares and expressly disclaims beneficial ownership over all shares held by VA7 and VP7 except to the extent of its indirect pecuniary interest therein. VHCP Management II, LLC is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP2") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-Invest 2"), may be deemed to beneficially own these shares and expressly disclaims beneficial ownership over all shares held by VHCP2 and VHCP Co-Invest 2 except to the extent of its indirect pecuniary interest therein. Bong Koh and Nimish Shah are the managing members of VHCP Management II, LLC. Drs. Koh and Shah expressly disclaim beneficial ownership over all shares held by VHCP2 and VHCP Co-Invest 2 except to the extent of their indirect pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.
F2: Consists of 745,139 shares of convertible preferred stock held by Venrock Associates VII, L.P., 212,500 shares of convertible preferred stock held by Venrock Healthcare Capital Partners II, L.P., 61,725 shares of convertible preferred stock held by Venrock Partners VII, L.P. and 86,165 shares of convertible preferred stock held by VHCP Co-Investment Holdings II, LLC.
F3: Consists of 382,238 shares of convertible preferred stock held by Venrock Associates VII, L.P., 428,744 shares of convertible preferred stock held by Venrock Healthcare Capital Partners II, L.P., 31,663 shares of convertible preferred stock held by Venrock Partners VII, L.P. and 173,847 shares of convertible preferred stock held by VHCP Co-Investment Holdings II, LLC.
F4: Venrock Management VII, LLC ("VM7") is the sole general partner of Venrock Associates VII, L.P. ("VA7") and Venrock Partners VII, L.P. ("VP7") and may be deemed to beneficially own these shares and expressly disclaims beneficial ownership over all shares held by VA7 and VP7 except to the extent of its indirect pecuniary interest therein. VHCP Management II, LLC is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP2") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-Invest 2"), may be deemed to beneficially own these shares and expressly disclaims beneficial ownership over all shares held by VHCP2 and VHCP Co-Invest 2 except to the extent of its indirect pecuniary interest therein. Bong Koh and Nimish Shah are the managing members of VHCP Management II, LLC. Drs. Koh and Shah expressly disclaim beneficial ownership over all shares held by VHCP2 and VHCP Co-Invest 2 except to the extent of their indirect pecuniary interests therein.
Past disclosures · reporting ended (6)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Altimmune, Inc.
Report date February 25, 2021 · Filed March 01, 2021
Jointly reported with Venrock Healthcare Capital Partners III, L.P., VHCP Co-Investment Holdings III, LLC, VHCP Management III, LLC, Venrock Healthcare Capital Partners II, L.P., VHCP Co-Investment Holdings II, LLC, VHCP Management II, LLC, Koh Bong Y
Section 16 reporting ended · disclosed 2021-03-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Funds | 3,500,000 |
Reported balance
After 2021-02-25 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-02-25 · Other · Disposed 1,000,000 · Balance 3,500,000 F1: On February 25, 2021, the Issuer entered into an exchange agreement with the Reporting Persons pursuant to which the Issuer exchanged an aggregate of 1,000,000 shares of common stock owned by the Reporting Persons for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 1,000,000 shares of common stock (subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting common stock), with an exercise price of $0.0001 per share. F2: Consists of 925,050 shares held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), 374,849 shares held by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"), 2,000,252 shares held by Venrock Healthcare Capital Partners III, L.P. ("VHCP III") and 199,849 shares held by VHCP Co-Investment Holdings III, LLC ("VHCP III Co"). F3: VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM II and VHCPM III. Dr. Koh, Mr. Shah, VHCPM II and VHCPM III disclaim beneficial ownership over all shares held by VHCP II, VHCP II Co, VHCP III and VHCP III Co, except to the extent of their respective indirect pecuniary interests therein. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy Funds | 1,000,000 |
Reported balance
After 2021-02-25 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-02-25 · Other · Acquired 1,000,000 · Balance 1,000,000 F1: On February 25, 2021, the Issuer entered into an exchange agreement with the Reporting Persons pursuant to which the Issuer exchanged an aggregate of 1,000,000 shares of common stock owned by the Reporting Persons for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 1,000,000 shares of common stock (subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting common stock), with an exercise price of $0.0001 per share. F4: The Exchange Warrants are exercisable at any time, except that the Exchange Warrants will not be exercised by the Reporting Persons if, upon giving effect or immediately prior thereto, the Reporting Persons would beneficially own more than 9.99% of the total number of the Issuer's issued and outstanding common stock, which percentage may change at the holders' election to any other number less than or equal to 19.99% upon 61 days' notice to the Issuer. F5: The Exchange Warrants have no expiration date. F6: Consists of 264,300 shares underlying Exchange Warrants held by VHCP II, 107,100 shares underlying Exchange Warrants held by VHCP II Co, 571,500 shares underlying Exchange Warrants held by VHCP III and 57,100 shares underlying Exchange Warrants held by VHCP III Co. F3: VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM II and VHCPM III. Dr. Koh, Mr. Shah, VHCPM II and VHCPM III disclaim beneficial ownership over all shares held by VHCP II, VHCP II Co, VHCP III and VHCP III Co, except to the extent of their respective indirect pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On February 25, 2021, the Issuer entered into an exchange agreement with the Reporting Persons pursuant to which the Issuer exchanged an aggregate of 1,000,000 shares of common stock owned by the Reporting Persons for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 1,000,000 shares of common stock (subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting common stock), with an exercise price of $0.0001 per share.
F2: Consists of 925,050 shares held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), 374,849 shares held by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"), 2,000,252 shares held by Venrock Healthcare Capital Partners III, L.P. ("VHCP III") and 199,849 shares held by VHCP Co-Investment Holdings III, LLC ("VHCP III Co").
F3: VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM II and VHCPM III. Dr. Koh, Mr. Shah, VHCPM II and VHCPM III disclaim beneficial ownership over all shares held by VHCP II, VHCP II Co, VHCP III and VHCP III Co, except to the extent of their respective indirect pecuniary interests therein.
F4: The Exchange Warrants are exercisable at any time, except that the Exchange Warrants will not be exercised by the Reporting Persons if, upon giving effect or immediately prior thereto, the Reporting Persons would beneficially own more than 9.99% of the total number of the Issuer's issued and outstanding common stock, which percentage may change at the holders' election to any other number less than or equal to 19.99% upon 61 days' notice to the Issuer.
F5: The Exchange Warrants have no expiration date.
F6: Consists of 264,300 shares underlying Exchange Warrants held by VHCP II, 107,100 shares underlying Exchange Warrants held by VHCP II Co, 571,500 shares underlying Exchange Warrants held by VHCP III and 57,100 shares underlying Exchange Warrants held by VHCP III Co.
Apogee Therapeutics, Inc.
Report date September 03, 2026 · Filed September 03, 2026
Section 16 reporting ended · disclosed 2026-09-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2026-09-03 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-09-03 · Disposition to issuer · Disposed 1,750,000 · Balance 0 F1: The reported securities, which were disposed of in connection with the acquisition of the Issuer by AbbVie Inc. (the "Merger"), represent (i) 460,075 shares of the Issuer's common stock ("Common Stock") held by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 46,025 shares held by VHCP Co-Investment Holdings III, LLC ("VHCP Co-III") and (iii) 1,243,900 shares held by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2: VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP Co-III. VHCP Management EG, LLC ("VHCPM EG") is the sole general partner of VHCP EG. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM III and VHCPM EG. Dr. Koh, Mr. Shah, VHCPM III and VHCPM EG disclaim beneficial ownership over all shares held by VHCP III, VHCP Co-III, and VHCP EG, except to the extent of their respective indirect pecuniary interests therein. |
| Non-Voting Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnote | 0 |
Reported balance
After 2026-09-03 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-09-03 · Disposition to issuer · Disposed 6,743,321 · Balance 0 F3: The Non-Voting Common Stock was convertible at any time and had no expiration date. F4: The reported securities, which were disposed of in connection with the Merger, represent (i) 2,495,319 shares of Non-Voting Common Stock held directly by VHCP III, (ii) 249,522 shares of Non-Voting Common Stock held directly by VHCP Co-III and (iii) 3,998,480 shares of Non-Voting Common Stock held directly by VHCP EG. F2: VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP Co-III. VHCP Management EG, LLC ("VHCPM EG") is the sole general partner of VHCP EG. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM III and VHCPM EG. Dr. Koh, Mr. Shah, VHCPM III and VHCPM EG disclaim beneficial ownership over all shares held by VHCP III, VHCP Co-III, and VHCP EG, except to the extent of their respective indirect pecuniary interests therein. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.00 · Expires 2033-07-13 | Direct | 0 |
Reported balance
After 2026-09-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-09-03 · Disposition to issuer · Disposed 47,758 · Balance 0 F6: Each reported option and warrant was disposed of in connection with the Merger in exchange for a cash payment equal to the excess of $135.11 (the per share merger consideration) over the exercise price of such option or warrant. F5: The reported options were vested as of the date of the Merger or became fully vested in connection with the Merger. F7: Under an agreement between the Reporting Person and Venrock Management, LLC (the "Management Company"), the Reporting Person is deemed to hold the reported option and the shares underlying the option for the sole benefit of the Management Company. The Reporting Person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $43.85 · Expires 2034-06-05 | Direct | 0 |
Reported balance
After 2026-09-03 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-09-03 · Disposition to issuer · Disposed 10,370 · Balance 0 F6: Each reported option and warrant was disposed of in connection with the Merger in exchange for a cash payment equal to the excess of $135.11 (the per share merger consideration) over the exercise price of such option or warrant. F5: The reported options were vested as of the date of the Merger or became fully vested in connection with the Merger. F7: Under an agreement between the Reporting Person and Venrock Management, LLC (the "Management Company"), the Reporting Person is deemed to hold the reported option and the shares underlying the option for the sole benefit of the Management Company. The Reporting Person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $41.66 · Expires 2035-06-17 | Direct | 0 |
Reported balance
After 2026-09-03 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-09-03 · Disposition to issuer · Disposed 14,461 · Balance 0 F6: Each reported option and warrant was disposed of in connection with the Merger in exchange for a cash payment equal to the excess of $135.11 (the per share merger consideration) over the exercise price of such option or warrant. F5: The reported options were vested as of the date of the Merger or became fully vested in connection with the Merger. F7: Under an agreement between the Reporting Person and Venrock Management, LLC (the "Management Company"), the Reporting Person is deemed to hold the reported option and the shares underlying the option for the sole benefit of the Management Company. The Reporting Person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $85.00 · Expires 2036-06-09 | Direct | 0 |
Reported balance
After 2026-09-03 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-09-03 · Disposition to issuer · Disposed 7,657 · Balance 0 F6: Each reported option and warrant was disposed of in connection with the Merger in exchange for a cash payment equal to the excess of $135.11 (the per share merger consideration) over the exercise price of such option or warrant. F5: The reported options were vested as of the date of the Merger or became fully vested in connection with the Merger. F7: Under an agreement between the Reporting Person and Venrock Management, LLC (the "Management Company"), the Reporting Person is deemed to hold the reported option and the shares underlying the option for the sole benefit of the Management Company. The Reporting Person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. |
| Pre-Funded Warrants (Right to Buy)SEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2026-09-03 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2026-09-03 · Disposition to issuer · Disposed 365,853 · Balance 0 F8: The exercise price of each reported warrant is $0.00001 per share. F6: Each reported option and warrant was disposed of in connection with the Merger in exchange for a cash payment equal to the excess of $135.11 (the per share merger consideration) over the exercise price of such option or warrant. F9: The reported warrants had no expiration date and were exercisable immediately upon grant. F10: The reported warrants are held directly by Venrock Opportunities Fund, L.P. ("VOF"). Venrock Opportunities Management, LLC ("VO Management") is the general partner of VOF. The Reporting Person is a voting member of VO Management and expressly disclaims beneficial ownership over all shares held by VOF except to the extent of his indirect pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities, which were disposed of in connection with the acquisition of the Issuer by AbbVie Inc. (the "Merger"), represent (i) 460,075 shares of the Issuer's common stock ("Common Stock") held by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 46,025 shares held by VHCP Co-Investment Holdings III, LLC ("VHCP Co-III") and (iii) 1,243,900 shares held by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG").
F2: VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP Co-III. VHCP Management EG, LLC ("VHCPM EG") is the sole general partner of VHCP EG. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM III and VHCPM EG. Dr. Koh, Mr. Shah, VHCPM III and VHCPM EG disclaim beneficial ownership over all shares held by VHCP III, VHCP Co-III, and VHCP EG, except to the extent of their respective indirect pecuniary interests therein.
F3: The Non-Voting Common Stock was convertible at any time and had no expiration date.
F4: The reported securities, which were disposed of in connection with the Merger, represent (i) 2,495,319 shares of Non-Voting Common Stock held directly by VHCP III, (ii) 249,522 shares of Non-Voting Common Stock held directly by VHCP Co-III and (iii) 3,998,480 shares of Non-Voting Common Stock held directly by VHCP EG.
F5: The reported options were vested as of the date of the Merger or became fully vested in connection with the Merger.
F6: Each reported option and warrant was disposed of in connection with the Merger in exchange for a cash payment equal to the excess of $135.11 (the per share merger consideration) over the exercise price of such option or warrant.
F7: Under an agreement between the Reporting Person and Venrock Management, LLC (the "Management Company"), the Reporting Person is deemed to hold the reported option and the shares underlying the option for the sole benefit of the Management Company. The Reporting Person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein.
F8: The exercise price of each reported warrant is $0.00001 per share.
F9: The reported warrants had no expiration date and were exercisable immediately upon grant.
F10: The reported warrants are held directly by Venrock Opportunities Fund, L.P. ("VOF"). Venrock Opportunities Management, LLC ("VO Management") is the general partner of VOF. The Reporting Person is a voting member of VO Management and expressly disclaims beneficial ownership over all shares held by VOF except to the extent of his indirect pecuniary interests therein.
Bellerophon Therapeutics, Inc.
Report date October 24, 2019 · Filed October 28, 2019
Jointly reported with VENROCK ASSOCIATES IV L P, Venrock Healthcare Capital Partners III, L.P., VHCP Co-Investment Holdings III, LLC, VHCP Management III, LLC
Section 16 reporting ended · disclosed 2019-10-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy funds | 6,435,173 |
Last balance in matching sequence
After 2019-10-28 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2019-10-24 · Sale · Disposed 704,595 · Balance 6,824,425 F1: This Form 4 is the second of two Form 4s being filed to report the beneficial ownership of the following Reporting Persons: Venrock Associates IV, LP, Venrock Partners, LP, Venrock Entrepreneurs Fund IV, LP, Venrock Management IV, LLC, Venrock Partners Management, LLC, VEF Management IV, LLC, Venrock Healthcare Capital Partners II, LP, VHCP Management II, LLC, VHCP Co Investment Holdings II, LLC, Venrock Healthcare Capital Partners III, LP, VHCP Management III, LLC, VHCP Co Investment Holdings III, LLC, Bong Koh and Nimish Shah. Two Form 4s are being filed because each form can report a maximum of 10 reporting persons. F2: Consists of: 316,797 shares sold by Venrock Healthcare Capital Partners II, LP, 128,431 shares sold by VHCP Co-Investment Holdings II, LLC, 235,791 shares sold by Venrock Healthcare Capital Partners III, LP and 23,576 shares sold by VHCP Co-Investment Holdings III, LLC. F3: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions a prices within a range of $1.00. The Reporting Persons undertake to provide 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 this range. F4: Venrock Management IV, LLC ("VM4") is the general partner of Venrock Associates IV, LP. Venrock Partners Management, LLC ("VPM") is the general partner of Venrock Partners, LP. VEF Management IV, LLC ("VEFM") is the general partner of Venrock Entrepreneurs Fund IV, LP. VHCP Management II, LLC ("VHCPM2") is the general partner of Venrock Healthcare Capital Partners II, LP and the manager of VHCP Co- Investment Holdings II, LLC. VHCP Management III, LLC ("VHCPM3") is the general partner of Venrock Healthcare Capital Partners III, LP and the manager of VHCP Co-Investment Holdings III, LLC. Bong Koh and Nimish Shah are the managing members of VHCPM2 and VHCPM3. Each of VM4, VPM, VEFM, VHCPM2, VHCPM3, Bong Koh and Nimish Shah (together, the "Managers") may be deemed to beneficially own these shares. Each of the Managers expressly disclaims beneficial ownership over these shares except to the extent of their indirect pecuniary interests therein. Row 2 · 2019-10-25 · Sale · Disposed 56,242 · Balance 6,768,183 F1: This Form 4 is the second of two Form 4s being filed to report the beneficial ownership of the following Reporting Persons: Venrock Associates IV, LP, Venrock Partners, LP, Venrock Entrepreneurs Fund IV, LP, Venrock Management IV, LLC, Venrock Partners Management, LLC, VEF Management IV, LLC, Venrock Healthcare Capital Partners II, LP, VHCP Management II, LLC, VHCP Co Investment Holdings II, LLC, Venrock Healthcare Capital Partners III, LP, VHCP Management III, LLC, VHCP Co Investment Holdings III, LLC, Bong Koh and Nimish Shah. Two Form 4s are being filed because each form can report a maximum of 10 reporting persons. F5: Consists of: 25,287 shares sold by Venrock Healthcare Capital Partners II, LP, 10,252 shares sold by VHCP Co-Investment Holdings II, LLC,18,821 shares sold by Venrock Healthcare Capital Partners III, LP and 1,882 shares sold by VHCP Co-Investment Holdings III, LLC. F3: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions a prices within a range of $1.00. The Reporting Persons undertake to provide 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 this range. F4: Venrock Management IV, LLC ("VM4") is the general partner of Venrock Associates IV, LP. Venrock Partners Management, LLC ("VPM") is the general partner of Venrock Partners, LP. VEF Management IV, LLC ("VEFM") is the general partner of Venrock Entrepreneurs Fund IV, LP. VHCP Management II, LLC ("VHCPM2") is the general partner of Venrock Healthcare Capital Partners II, LP and the manager of VHCP Co- Investment Holdings II, LLC. VHCP Management III, LLC ("VHCPM3") is the general partner of Venrock Healthcare Capital Partners III, LP and the manager of VHCP Co-Investment Holdings III, LLC. Bong Koh and Nimish Shah are the managing members of VHCPM2 and VHCPM3. Each of VM4, VPM, VEFM, VHCPM2, VHCPM3, Bong Koh and Nimish Shah (together, the "Managers") may be deemed to beneficially own these shares. Each of the Managers expressly disclaims beneficial ownership over these shares except to the extent of their indirect pecuniary interests therein. Row 3 · 2019-10-28 · Sale · Disposed 333,010 · Balance 6,435,173 F1: This Form 4 is the second of two Form 4s being filed to report the beneficial ownership of the following Reporting Persons: Venrock Associates IV, LP, Venrock Partners, LP, Venrock Entrepreneurs Fund IV, LP, Venrock Management IV, LLC, Venrock Partners Management, LLC, VEF Management IV, LLC, Venrock Healthcare Capital Partners II, LP, VHCP Management II, LLC, VHCP Co Investment Holdings II, LLC, Venrock Healthcare Capital Partners III, LP, VHCP Management III, LLC, VHCP Co Investment Holdings III, LLC, Bong Koh and Nimish Shah. Two Form 4s are being filed because each form can report a maximum of 10 reporting persons. F6: Consists of: 149,726 shares sold by Venrock Healthcare Capital Partners II, LP, 60,700 shares sold by VHCP Co-Investment Holdings II, LLC, 111,441 shares sold by Venrock Healthcare Capital Partners III, LP and 11,143 shares sold by VHCP Co-Investment Holdings III, LLC. F3: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions a prices within a range of $1.00. The Reporting Persons undertake to provide 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 this range. F4: Venrock Management IV, LLC ("VM4") is the general partner of Venrock Associates IV, LP. Venrock Partners Management, LLC ("VPM") is the general partner of Venrock Partners, LP. VEF Management IV, LLC ("VEFM") is the general partner of Venrock Entrepreneurs Fund IV, LP. VHCP Management II, LLC ("VHCPM2") is the general partner of Venrock Healthcare Capital Partners II, LP and the manager of VHCP Co- Investment Holdings II, LLC. VHCP Management III, LLC ("VHCPM3") is the general partner of Venrock Healthcare Capital Partners III, LP and the manager of VHCP Co-Investment Holdings III, LLC. Bong Koh and Nimish Shah are the managing members of VHCPM2 and VHCPM3. Each of VM4, VPM, VEFM, VHCPM2, VHCPM3, Bong Koh and Nimish Shah (together, the "Managers") may be deemed to beneficially own these shares. Each of the Managers expressly disclaims beneficial ownership over these shares except to the extent of their indirect pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is the second of two Form 4s being filed to report the beneficial ownership of the following Reporting Persons: Venrock Associates IV, LP, Venrock Partners, LP, Venrock Entrepreneurs Fund IV, LP, Venrock Management IV, LLC, Venrock Partners Management, LLC, VEF Management IV, LLC, Venrock Healthcare Capital Partners II, LP, VHCP Management II, LLC, VHCP Co Investment Holdings II, LLC, Venrock Healthcare Capital Partners III, LP, VHCP Management III, LLC, VHCP Co Investment Holdings III, LLC, Bong Koh and Nimish Shah. Two Form 4s are being filed because each form can report a maximum of 10 reporting persons.
F2: Consists of: 316,797 shares sold by Venrock Healthcare Capital Partners II, LP, 128,431 shares sold by VHCP Co-Investment Holdings II, LLC, 235,791 shares sold by Venrock Healthcare Capital Partners III, LP and 23,576 shares sold by VHCP Co-Investment Holdings III, LLC.
F3: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions a prices within a range of $1.00. The Reporting Persons undertake to provide 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 this range.
F4: Venrock Management IV, LLC ("VM4") is the general partner of Venrock Associates IV, LP. Venrock Partners Management, LLC ("VPM") is the general partner of Venrock Partners, LP. VEF Management IV, LLC ("VEFM") is the general partner of Venrock Entrepreneurs Fund IV, LP. VHCP Management II, LLC ("VHCPM2") is the general partner of Venrock Healthcare Capital Partners II, LP and the manager of VHCP Co- Investment Holdings II, LLC. VHCP Management III, LLC ("VHCPM3") is the general partner of Venrock Healthcare Capital Partners III, LP and the manager of VHCP Co-Investment Holdings III, LLC. Bong Koh and Nimish Shah are the managing members of VHCPM2 and VHCPM3. Each of VM4, VPM, VEFM, VHCPM2, VHCPM3, Bong Koh and Nimish Shah (together, the "Managers") may be deemed to beneficially own these shares. Each of the Managers expressly disclaims beneficial ownership over these shares except to the extent of their indirect pecuniary interests therein.
F5: Consists of: 25,287 shares sold by Venrock Healthcare Capital Partners II, LP, 10,252 shares sold by VHCP Co-Investment Holdings II, LLC,18,821 shares sold by Venrock Healthcare Capital Partners III, LP and 1,882 shares sold by VHCP Co-Investment Holdings III, LLC.
F6: Consists of: 149,726 shares sold by Venrock Healthcare Capital Partners II, LP, 60,700 shares sold by VHCP Co-Investment Holdings II, LLC, 111,441 shares sold by Venrock Healthcare Capital Partners III, LP and 11,143 shares sold by VHCP Co-Investment Holdings III, LLC.
KalVista Pharmaceuticals, Inc.
Report date March 25, 2026 · Filed March 27, 2026
Jointly reported with Venrock Healthcare Capital Partners III, L.P., VHCP Co-Investment Holdings III, LLC, VHCP Management EG, LLC, Venrock Healthcare Capital Partners EG, L.P., VHCP Management III, LLC, Koh Bong Y
Section 16 reporting ended · disclosed 2026-03-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Funds | 5,129,500 |
Reported balance
After 2026-03-25 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-03-25 · Sale · Disposed 174,485 · Balance 5,129,500 F1: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $16.51 to $17.50 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote. F2: Consists of (i) 1,105,126 shares held by Venrock Healthcare Capital Partners III, L.P. ("VHCP3"); (ii) 110,550 shares held by VHCP Co-Investment Holdings III,LLC ("VHCP Co-3"); and (iii) 3,913,824 shares held by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F3: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these securities. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these securities. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these securities. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these securities except to the extent of its or his indirect pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Funds | 5,129,340 |
Reported balance
After 2026-03-25 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2026-03-25 · Sale · Disposed 160 · Balance 5,129,340 F4: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $17.51 to $17.55 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote. F5: Consists of (i) 1,105,092 shares held by VHCP3; (ii) 110,547 shares held by VHCP Co-3; and (iii) 3,913,701 shares held by VHCP EG. F3: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these securities. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these securities. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these securities. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these securities except to the extent of its or his indirect pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Funds | 5,107,954 |
Reported balance
After 2026-03-26 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2026-03-26 · Sale · Disposed 21,386 · Balance 5,107,954 F6: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $17.07 to $18.06 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote. F7: Consists of (i) 1,100,485 shares held by VHCP3; (ii) 110,085 shares held by VHCP Co-3; and (iii) 3,897,384 shares held by VHCP EG. F3: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these securities. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these securities. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these securities. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these securities except to the extent of its or his indirect pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Funds | 5,092,537 |
Reported balance
After 2026-03-26 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2026-03-26 · Sale · Disposed 15,417 · Balance 5,092,537 F8: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $18.07 to $19.06 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote. F9: Consists of (i) 1,097,164 shares held by VHCP3; (ii) 109,752 shares held by VHCP Co-3; and (iii) 3,885,621 shares held by VHCP EG. F3: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these securities. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these securities. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these securities. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these securities except to the extent of its or his indirect pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Funds | 5,089,354 |
Reported balance
After 2026-03-26 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2026-03-26 · Sale · Disposed 3,183 · Balance 5,089,354 F10: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $19.07 to $19.25 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote. F11: Consists of (i) 1,096,478 shares held by VHCP3; (ii) 109,684 shares held by VHCP Co-3; and (iii) 3,883,192 shares held by VHCP EG. F3: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these securities. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these securities. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these securities. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these securities except to the extent of its or his indirect pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $16.51 to $17.50 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.
F2: Consists of (i) 1,105,126 shares held by Venrock Healthcare Capital Partners III, L.P. ("VHCP3"); (ii) 110,550 shares held by VHCP Co-Investment Holdings III,LLC ("VHCP Co-3"); and (iii) 3,913,824 shares held by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG").
F3: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these securities. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these securities. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these securities. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these securities except to the extent of its or his indirect pecuniary interest therein.
F4: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $17.51 to $17.55 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.
F5: Consists of (i) 1,105,092 shares held by VHCP3; (ii) 110,547 shares held by VHCP Co-3; and (iii) 3,913,701 shares held by VHCP EG.
F6: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $17.07 to $18.06 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.
F7: Consists of (i) 1,100,485 shares held by VHCP3; (ii) 110,085 shares held by VHCP Co-3; and (iii) 3,897,384 shares held by VHCP EG.
F8: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $18.07 to $19.06 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.
F9: Consists of (i) 1,097,164 shares held by VHCP3; (ii) 109,752 shares held by VHCP Co-3; and (iii) 3,885,621 shares held by VHCP EG.
F10: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $19.07 to $19.25 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.
F11: Consists of (i) 1,096,478 shares held by VHCP3; (ii) 109,684 shares held by VHCP Co-3; and (iii) 3,883,192 shares held by VHCP EG.
Tricida, Inc.
Report date October 24, 2022 · Filed October 26, 2022
Jointly reported with Venrock Healthcare Capital Partners II, L.P., VHCP Co-Investment Holdings II, LLC, VHCP Management II, LLC, Venrock Healthcare Capital Partners III, L.P., VHCP Co-Investment Holdings III, LLC, VHCP Management III, LLC, Venrock Healthcare Capital Partners EG, L.P., VHCP Management EG, LLC, Koh Bong Y
Section 16 reporting ended · disclosed 2022-10-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Funds | 3,751,406 |
Last balance in matching sequence
After 2022-10-26 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2022-10-24 · Sale · Disposed 2,113,948 · Balance 8,088,998 F1: Consists of (i) 202,708 shares sold by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), (ii) 82,148 shares sold by VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"), (iii) 617,948 shares sold by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (iv) 61,806 shares sold by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (v) 1,149,338 shares sold by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.59 to $0.63, 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 ranges set forth in this footnote. F3: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Row 2 · 2022-10-25 · Sale · Disposed 1,970,418 · Balance 6,118,580 F4: The shares sold on October 25, 2022 consist of (i) 188,945 shares sold by VHCP II, (ii) 76,569 shares sold by VHCP Co-2, (iii) 575,992 shares sold by VHCP III, (iv) 57,610 shares sold by VHCP Co-3 and (v) 1,071,302 shares sold by VHCP EG. F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.52 to $0.64, 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 ranges set forth in this footnote. F3: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Row 3 · 2022-10-26 · Sale · Disposed 2,367,174 · Balance 3,751,406 F6: The shares sold on October 26, 2022 consist of (i) 226,991 shares sold by VHCP II, (ii) 91,988 shares sold by VHCP Co-2, (iii) 691,971 shares sold by VHCP III, (iv) 69,208 shares sold by VHCP Co-3 and (v) 1,287,016 shares sold by VHCP EG. F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.43 to $0.53, 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 ranges set forth in this footnote. F3: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of (i) 202,708 shares sold by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), (ii) 82,148 shares sold by VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"), (iii) 617,948 shares sold by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (iv) 61,806 shares sold by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (v) 1,149,338 shares sold by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG").
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.59 to $0.63, 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 ranges set forth in this footnote.
F3: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein.
F4: The shares sold on October 25, 2022 consist of (i) 188,945 shares sold by VHCP II, (ii) 76,569 shares sold by VHCP Co-2, (iii) 575,992 shares sold by VHCP III, (iv) 57,610 shares sold by VHCP Co-3 and (v) 1,071,302 shares sold by VHCP EG.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.52 to $0.64, 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 ranges set forth in this footnote.
F6: The shares sold on October 26, 2022 consist of (i) 226,991 shares sold by VHCP II, (ii) 91,988 shares sold by VHCP Co-2, (iii) 691,971 shares sold by VHCP III, (iv) 69,208 shares sold by VHCP Co-3 and (v) 1,287,016 shares sold by VHCP EG.
F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.43 to $0.53, 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 ranges set forth in this footnote.
Vistagen Therapeutics, Inc.
Report date July 12, 2022 · Filed July 14, 2022
Jointly reported with Venrock Healthcare Capital Partners II, L.P., VHCP Co-Investment Holdings II, LLC, VHCP Management II, LLC, Venrock Healthcare Capital Partners III, L.P., VHCP Co-Investment Holdings III, LLC, VHCP Management III, LLC, Venrock Healthcare Capital Partners EG, L.P., VHCP Management EG, LLC, Koh Bong Y
Section 16 reporting ended · disclosed 2022-07-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Funds | 20,637,286 |
Reported balance
After 2022-07-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-07-12 · Sale · Disposed 60,000 · Balance 20,637,286 F1: Consists of 14,348 shares sold by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), 5,814 shares sold by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"), 4,688 shares sold by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), 469 shares sold by VHCP Co-Investment Holdings III, LLC ("VHCP III Co") and 34,681 shares sold by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.86 to $0.91, 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 ranges set forth in this footnote. F3: Consists of 4,935,020 shares held by VHCP II, 1,999,971 shares held by VHCP II Co, 1,612,582 shares held by VHCP III, 161,351 shares held by VHCP III Co and 11,928,362 shares held by VHCP EG. F4: VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. VHCP Management EG, LLC ("VHCPM EG") is the sole general partner of VHCP EG. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM II, VHCPM III and VHCPM EG. Dr. Koh, Mr. Shah, VHCPM II, VHCPM III and VHCPM EG disclaim beneficial ownership over all shares held by VHCP II, VHCP II Co, VHCP III, VHCP III Co and VHCP EG, except to the extent of their respective indirect pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of 14,348 shares sold by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), 5,814 shares sold by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"), 4,688 shares sold by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), 469 shares sold by VHCP Co-Investment Holdings III, LLC ("VHCP III Co") and 34,681 shares sold by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG").
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.86 to $0.91, 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 ranges set forth in this footnote.
F3: Consists of 4,935,020 shares held by VHCP II, 1,999,971 shares held by VHCP II Co, 1,612,582 shares held by VHCP III, 161,351 shares held by VHCP III Co and 11,928,362 shares held by VHCP EG.
F4: VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. VHCP Management EG, LLC ("VHCPM EG") is the sole general partner of VHCP EG. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM II, VHCPM III and VHCPM EG. Dr. Koh, Mr. Shah, VHCPM II, VHCPM III and VHCPM EG disclaim beneficial ownership over all shares held by VHCP II, VHCP II Co, VHCP III, VHCP III Co and VHCP EG, except to the extent of their respective indirect pecuniary interests therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 04, 2024 Filed Jan 5, 2024 16:13 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 41,764 | $12.11 | $505,762.04 |
DisclosureSEC source: 0001209191-24-001008 · doc4.xml · nonDerivative · entry 2 Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Funds Disclosed balance after: 4,152,100 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.91 to $12.17 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F5 · balance_after: Consists of (i) 906,551 shares held by VHCP3; (ii) 90,687 shares held by VHCP Co-3; and (iii) 3,154,862 shares held by VHCP EG. F3 · ownership.nature: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these shares. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these shares. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these shares. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these shares except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| January 03, 2024 Filed Jan 5, 2024 16:13 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 17,605 | $12.20 | $214,781.00 |
DisclosureSEC source: 0001209191-24-001008 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Funds Disclosed balance after: 4,110,336 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.08 to $12.24 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · balance_after: Consists of (i) 895,571 shares held by Venrock Healthcare Capital Partners III, L.P. ("VHCP3"); (ii) 89,587 shares held by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3"); and (iii) 3,125,178 shares held by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F3 · ownership.nature: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these shares. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these shares. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these shares. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these shares except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| December 29, 2023 Filed Dec 29, 2023 18:44 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 6,013 | $12.49 | $75,102.37 |
DisclosureSEC source: 0001209191-23-060015 · doc4.xml · nonDerivative · entry 3 Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Funds Disclosed balance after: 4,092,731 F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.44 to $12.55 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F7 · balance_after: Consists of (i) 890,943 shares held by VHCP3; (ii) 89,124 shares held by VHCP Co-3; and (iii) 3,112,664 shares held by VHCP EG. F3 · ownership.nature: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these shares. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these shares. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these shares. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these shares except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| December 28, 2023 Filed Dec 29, 2023 18:44 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 471,490 | $12.50 | $5,893,625.00 |
DisclosureSEC source: 0001209191-23-060015 · doc4.xml · nonDerivative · entry 2 Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Funds Disclosed balance after: 4,086,718 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.88 to $12.73 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F5 · balance_after: Consists of (i) 889,362 shares held by VHCP3; (ii) 88,966 shares held by VHCP Co-3; and (iii) 3,108,390 shares held by VHCP EG. F3 · ownership.nature: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these shares. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these shares. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these shares. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these shares except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| December 27, 2023 Filed Dec 29, 2023 18:44 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 41,514 | $11.97 | $496,922.58 |
DisclosureSEC source: 0001209191-23-060015 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Funds Disclosed balance after: 3,615,228 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.68 to $12.03 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 purchased at each separate price within the range set forth in this footnote. F2 · balance_after: Consists of (i) 856,000 shares held by Venrock Healthcare Capital Partners III, L.P. ("VHCP3"); (ii) 85,630 shares held by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3"); and (iii) 2,673,598 shares held by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F3 · ownership.nature: VHCP Management III, LLC ("VHCPM3") is the general partner of VHCP3 and the manager of VHCP Co-3 and may be deemed to beneficially own these shares. VHCP Management EG, LLC ("VHCPMEG") is the general partner of VHCPEG and may be deemed to beneficially own these shares. Bong Koh and Nimish Shah are the voting members of VHCPM3 and VHCPMEG and may be deemed to beneficially own these shares. Each of VHCPM3, VHCPMEG and Messrs. Koh and Shah expressly disclaims beneficial ownership over these shares except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| July 13, 2023 Filed Jul 18, 2023 00:00 UTC | Apogee Therapeutics, Inc. APGE · Entity 1939 | GrantStock Option (Right to Buy) · Derivative | 47,758 | $0.00 Strike: $17.00 | $0.00 |
DisclosureSEC source: 0001104659-23-081730 · tm2321456-7_4seq1.xml · derivative · entry 2 Shah Nimish P · CIK 0001698082 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 47,758 Underlying: Common Stock · 47,758 shares Expires 2033-07-13 F3 · derivative.exercise_date: This option represents the right to purchase 47,758 shares of the Issuer's common stock, and will vest in three approximately equal annual installments beginning on the first anniversary of the grant date. F4 · ownership.direct: Under an agreement between the reporting person and VR Management, LLC (the "Management Company"), the reporting person is deemed to hold the reported option and the shares underlying the option for the sole benefit of the Management Company and must exercise the reported option solely upon the direction of the Management Company, which is entitled to the shares underlying the option. The Management Company may be deemed the indirect beneficial owner of the shares underlying the option, and the reporting person may be deemed the indirect beneficial owner of the reported shares underlying the option through his interest in the Management Company. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document |
| July 13, 2023 Filed Jul 18, 2023 00:00 UTC | Apogee Therapeutics, Inc. APGE · Entity 1939 | PurchaseCommon Stock | 1,750,000 | $17.00 | $29,750,000.00 |
DisclosureSEC source: 0001104659-23-081730 · tm2321456-7_4seq1.xml · nonDerivative · entry 1 Shah Nimish P · CIK 0001698082 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 1,750,000 F1 · shares: Consists of (i) 460,075 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 46,025 shares purchased by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (iii) 1,243,900 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · ownership.nature: VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Dr. Bong Koh and Mr. Shah are the voting members of VHCPM III and VHCPM EG. Dr. Koh, Mr. Shah, VHCPM III and VHCPM EG expressly disclaim beneficial ownership over all shares held by VHCP III, VHCP Co-3 and VHCP EG except to the extent of their indirect pecuniary interests therein. Read SEC document |
| October 26, 2022 Filed Oct 26, 2022 18:32 UTC | Tricida, Inc. TCDA · Entity 122050 | SaleCommon Stock | 2,367,174 | $0.46 | $1,088,900.04 |
DisclosureSEC source: 0001209191-22-054671 · doc4.xml · nonDerivative · entry 3 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 3,751,406 F6 · shares: The shares sold on October 26, 2022 consist of (i) 226,991 shares sold by VHCP II, (ii) 91,988 shares sold by VHCP Co-2, (iii) 691,971 shares sold by VHCP III, (iv) 69,208 shares sold by VHCP Co-3 and (v) 1,287,016 shares sold by VHCP EG. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.43 to $0.53, 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 ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| October 25, 2022 Filed Oct 26, 2022 18:32 UTC | Tricida, Inc. TCDA · Entity 122050 | SaleCommon Stock | 1,970,418 | $0.57 | $1,123,138.26 |
DisclosureSEC source: 0001209191-22-054671 · doc4.xml · nonDerivative · entry 2 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 6,118,580 F4 · shares: The shares sold on October 25, 2022 consist of (i) 188,945 shares sold by VHCP II, (ii) 76,569 shares sold by VHCP Co-2, (iii) 575,992 shares sold by VHCP III, (iv) 57,610 shares sold by VHCP Co-3 and (v) 1,071,302 shares sold by VHCP EG. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.52 to $0.64, 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 ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| October 24, 2022 Filed Oct 26, 2022 18:32 UTC | Tricida, Inc. TCDA · Entity 122050 | SaleCommon Stock | 2,113,948 | $0.61 | $1,289,508.28 |
DisclosureSEC source: 0001209191-22-054671 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 8,088,998 F1 · shares: Consists of (i) 202,708 shares sold by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), (ii) 82,148 shares sold by VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"), (iii) 617,948 shares sold by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (iv) 61,806 shares sold by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (v) 1,149,338 shares sold by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.59 to $0.63, 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 ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| October 19, 2022 Filed Oct 20, 2022 17:25 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 70,100 | $11.25 | $788,625.00 |
DisclosureSEC source: 0001209191-22-054201 · doc4.xml · nonDerivative · entry 3 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 10,202,946 F4 · shares: The shares purchased on October 19, 2022 consist of (i) 81,884 shares purchased by VHCP III, (ii) 8,192 shares purchased by VHCP Co-3 and (iii) 221,390 shares purchased by VHCP EG. F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.05 to $11.73, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| October 19, 2022 Filed Oct 20, 2022 17:25 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 241,366 | $10.29 | $2,483,656.14 |
DisclosureSEC source: 0001209191-22-054201 · doc4.xml · nonDerivative · entry 2 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 10,132,846 F4 · shares: The shares purchased on October 19, 2022 consist of (i) 81,884 shares purchased by VHCP III, (ii) 8,192 shares purchased by VHCP Co-3 and (iii) 221,390 shares purchased by VHCP EG. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.01 to $11.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| October 18, 2022 Filed Oct 20, 2022 17:25 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 40,400 | $11.98 | $483,992.00 |
DisclosureSEC source: 0001209191-22-054201 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 9,891,480 F1 · shares: Consists of (i) 10,621 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 1,062 shares purchased by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (iii) 28,717 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.97 to $12.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| October 17, 2022 Filed Oct 17, 2022 17:26 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 170,292 | $11.67 | $1,987,307.64 |
DisclosureSEC source: 0001209191-22-053863 · doc4.xml · nonDerivative · entry 2 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 9,851,080 F4 · shares: Consists of (i) 44,770 shares purchased by VHCP III, (ii) 4,479 shares purchased by VHCP Co-3 and (iii) 121,043 shares purchased by VHCP EG. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.57 to $11.70, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| October 13, 2022 Filed Oct 17, 2022 17:26 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 4,674 | $11.98 | $55,994.52 |
DisclosureSEC source: 0001209191-22-053863 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 9,680,788 F1 · shares: Consists of (i) 1,229 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 123 shares purchased by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (iii) 3,322 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.84 to $12.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| October 11, 2022 Filed Oct 11, 2022 18:13 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 25,000 | $11.85 | $296,250.00 |
DisclosureSEC source: 0001209191-22-053374 · doc4.xml · nonDerivative · entry 3 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 9,676,114 F5 · shares: Consists of (i) 6,573 shares purchased by VHCP III, (ii) 658 shares purchased by VHCP Co-3 and (iii) 17,769 shares purchased by VHCP EG. F2 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| October 10, 2022 Filed Oct 11, 2022 18:13 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 80,314 | $11.89 | $954,933.46 |
DisclosureSEC source: 0001209191-22-053374 · doc4.xml · nonDerivative · entry 2 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 9,651,114 F3 · shares: Consists of (i) 21,115 shares purchased by VHCP III, (ii) 2,112 shares purchased by VHCP Co-3 and (iii) 57,087 shares purchased by VHCP EG. F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.36 to $12.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| October 07, 2022 Filed Oct 11, 2022 18:13 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 28,900 | $12.00 | $346,800.00 |
DisclosureSEC source: 0001209191-22-053374 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 9,570,800 F1 · shares: Consists of (i) 7,598 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 760 shares purchased by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (iii) 20,542 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| October 04, 2022 Filed Oct 6, 2022 16:50 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 223,100 | $11.81 | $2,634,811.00 |
DisclosureSEC source: 0001209191-22-052991 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 9,541,900 F1 · shares: Consists of (i) 58,653 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 5,867 shares purchased by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (iii) 158,580 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.30 to $11.93, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| October 03, 2022 Filed Oct 3, 2022 17:49 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 268,736 | $11.27 | $3,028,654.72 |
DisclosureSEC source: 0001209191-22-051925 · doc4.xml · nonDerivative · entry 2 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 9,318,800 F4 · shares: Consists of (i) 70,650 shares purchased by VHCP III, (ii) 7,068 shares purchased by VHCP Co-3 and (iii) 191,018 shares purchased by VHCP EG. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.80 to $11.47, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| September 29, 2022 Filed Oct 3, 2022 17:49 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 168,187 | $9.92 | $1,668,415.04 |
DisclosureSEC source: 0001209191-22-051925 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 9,050,064 F1 · shares: Consists of (i) 44,217 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 4,422 shares purchased by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (iii) 119,548 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.83 to $10.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| September 28, 2022 Filed Sep 28, 2022 20:05 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 76,600 | $9.92 | $759,872.00 |
DisclosureSEC source: 0001209191-22-051501 · doc4.xml · nonDerivative · entry 3 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 8,881,877 F6 · shares: Consists of (i) 20,138 shares purchased by VHCP III, (ii) 2,014 shares purchased by VHCP Co-3 and (iii) 54,448 shares purchased by VHCP EG. F7 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.72 to $10.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| September 27, 2022 Filed Sep 28, 2022 20:05 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 115,000 | $9.38 | $1,078,700.00 |
DisclosureSEC source: 0001209191-22-051501 · doc4.xml · nonDerivative · entry 2 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 8,805,277 F4 · shares: Consists of (i) 30,234 shares purchased by VHCP III, (ii) 3,024 shares purchased by VHCP Co-3 and (iii) 81,742 shares purchased by VHCP EG. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.22 to $9.57, 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 purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| September 26, 2022 Filed Sep 28, 2022 20:05 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 395,614 | $8.56 | $3,386,455.84 |
DisclosureSEC source: 0001209191-22-051501 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 8,690,277 F1 · shares: Consists of (i) 104,007 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 10,405 shares purchased by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (iii) 281,202 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.33 to $8.73, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| September 07, 2022 Filed Sep 7, 2022 16:12 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 473,459 | $11.40 | $5,397,432.60 |
DisclosureSEC source: 0001209191-22-048998 · doc4.xml · nonDerivative · entry 3 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 8,294,663 F6 · shares: Consists of (i) 124,472 shares purchased by VHCP III, (ii) 12,452 shares purchased by VHCP Co-3 and (iii) 336,535 shares purchased by VHCP EG. F7 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.40 to $11.75, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| September 06, 2022 Filed Sep 7, 2022 16:12 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 150,223 | $11.43 | $1,717,048.89 |
DisclosureSEC source: 0001209191-22-048998 · doc4.xml · nonDerivative · entry 2 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,821,204 F4 · shares: Consists of (i) 39,493 shares purchased by VHCP III, (ii) 3,951 shares purchased by VHCP Co-3 and (iii) 106,779 shares purchased by VHCP EG. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.10 to $12.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| September 02, 2022 Filed Sep 7, 2022 16:12 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 63,030 | $12.76 | $804,262.80 |
DisclosureSEC source: 0001209191-22-048998 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,670,981 F1 · shares: Consists of (i) 16,571 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 1,658 shares purchased by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (iii) 44,801 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.48 to $12.99, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| August 30, 2022 Filed Sep 1, 2022 16:18 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 50,000 | $12.20 | $610,000.00 |
DisclosureSEC source: 0001209191-22-048246 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,607,951 F1 · shares: Consists of (i) 13,145 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 1,315 shares purchased by VHCP Co- Investment Holdings III, LLC ("VHCP Co-3") and (iii) 35,540 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.20 to $12.23, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 17:32 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 18,900 | $9.21 | $174,069.00 |
DisclosureSEC source: 0001209191-22-043953 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,557,951 F1 · shares: Consists of (i) 4,969 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 497 shares purchased by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (iii) 13,434 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.14 to $9.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| July 25, 2022 Filed Jul 25, 2022 18:09 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 29,199 | $8.95 | $261,331.05 |
DisclosureSEC source: 0001209191-22-043141 · doc4.xml · nonDerivative · entry 3 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,539,051 F6 · shares: Consists of (i) 7,676 shares purchased by VHCP III, (ii) 768 shares purchased by VHCP Co-3 and (iii) 20,755 shares purchased by VHCP EG. F7 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.78 to $9.01, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| July 22, 2022 Filed Jul 25, 2022 18:09 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 15,000 | $9.21 | $138,150.00 |
DisclosureSEC source: 0001209191-22-043141 · doc4.xml · nonDerivative · entry 2 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,509,852 F4 · shares: Consists of (i) 3,944 shares purchased by VHCP III, (ii) 394 shares purchased by VHCP Co-3 and (iii) 10,662 shares purchased by VHCP EG. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.00 to $9.52, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| July 21, 2022 Filed Jul 25, 2022 18:09 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 30,000 | $9.59 | $287,700.00 |
DisclosureSEC source: 0001209191-22-043141 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,494,852 F1 · shares: Consists of (i) 7,887 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 789 shares purchased by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (iii) 21,324 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.41 to $9.71, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| July 20, 2022 Filed Jul 20, 2022 16:38 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 25,000 | $9.54 | $238,500.00 |
DisclosureSEC source: 0001209191-22-042695 · doc4.xml · nonDerivative · entry 3 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,464,852 F4 · shares: Consists of (i) 6,573 shares purchased by VHCP III, (ii) 657 shares purchased by VHCP Co-3 and (iii) 17,770 shares purchased by VHCP EG. F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.18 to $10.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| July 19, 2022 Filed Jul 20, 2022 16:38 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 25,000 | $9.47 | $236,750.00 |
DisclosureSEC source: 0001209191-22-042695 · doc4.xml · nonDerivative · entry 2 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,439,852 F4 · shares: Consists of (i) 6,573 shares purchased by VHCP III, (ii) 657 shares purchased by VHCP Co-3 and (iii) 17,770 shares purchased by VHCP EG. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.12 to $9.71, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| July 18, 2022 Filed Jul 20, 2022 16:38 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 100,000 | $9.02 | $902,000.00 |
DisclosureSEC source: 0001209191-22-042695 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,414,852 F1 · shares: Consists of (i) 26,290 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 2,630 shares purchased by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (iii) 71,080 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.91 to $9.28, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| July 14, 2022 Filed Jul 14, 2022 17:43 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 36,717 | $9.85 | $361,662.45 |
DisclosureSEC source: 0001209191-22-042154 · doc4.xml · nonDerivative · entry 3 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,314,852 F6 · shares: Consists of (i) 9,653 shares purchased by VHCP III, (ii) 966 shares purchased by VHCP Co-3 and (iii) 26,098 shares purchased by VHCP EG. F7 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.77 to $9.93, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| July 13, 2022 Filed Jul 14, 2022 17:43 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 32,856 | $9.98 | $327,902.88 |
DisclosureSEC source: 0001209191-22-042154 · doc4.xml · nonDerivative · entry 2 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,278,135 F4 · shares: Consists of (i) 8,638 shares purchased by VHCP III, (ii) 864 shares purchased by VHCP Co-3 and (iii) 23,354 shares purchased by VHCP EG. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.97 to $10.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| July 12, 2022 Filed Jul 14, 2022 17:43 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 25,000 | $9.81 | $245,250.00 |
DisclosureSEC source: 0001209191-22-042154 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,245,279 F1 · shares: Consists of (i) 6,573 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 657 shares purchased by VHCP Co- Investment Holdings III, LLC ("VHCP Co-3") and (iii) 17,770 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.64 to $9.99, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| July 12, 2022 Filed Jul 14, 2022 17:33 UTC | Vistagen Therapeutics, Inc. VTGN · Entity 7955 | SaleCommon Stock | 60,000 | $0.89 | $53,400.00 |
DisclosureSEC source: 0001209191-22-042152 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 20,637,286 F1 · shares: Consists of 14,348 shares sold by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), 5,814 shares sold by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"), 4,688 shares sold by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), 469 shares sold by VHCP Co-Investment Holdings III, LLC ("VHCP III Co") and 34,681 shares sold by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.86 to $0.91, 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 ranges set forth in this footnote. F3 · balance_after: Consists of 4,935,020 shares held by VHCP II, 1,999,971 shares held by VHCP II Co, 1,612,582 shares held by VHCP III, 161,351 shares held by VHCP III Co and 11,928,362 shares held by VHCP EG. F4 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. VHCP Management EG, LLC ("VHCPM EG") is the sole general partner of VHCP EG. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM II, VHCPM III and VHCPM EG. Dr. Koh, Mr. Shah, VHCPM II, VHCPM III and VHCPM EG disclaim beneficial ownership over all shares held by VHCP II, VHCP II Co, VHCP III, VHCP III Co and VHCP EG, except to the extent of their respective indirect pecuniary interests therein. Read SEC document |
| July 05, 2022 Filed Jul 6, 2022 16:55 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 32,500 | $9.53 | $309,725.00 |
DisclosureSEC source: 0001209191-22-041196 · doc4.xml · nonDerivative · entry 2 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,220,279 F4 · shares: Consists of (i) 8,544 shares purchased by VHCP III, (ii) 855 shares purchased by VHCP Co-3 and (iii) 23,101 shares purchased by VHCP EG. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.43 to $9.87, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| July 01, 2022 Filed Jul 6, 2022 16:55 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 55,700 | $9.65 | $537,505.00 |
DisclosureSEC source: 0001209191-22-041196 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,187,779 F1 · shares: Consists of (i) 14,644 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 1,464 shares purchased by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (iii) 39,592 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.48 to $10.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| June 30, 2022 Filed Jun 30, 2022 16:57 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 11,958 | $9.66 | $115,514.28 |
DisclosureSEC source: 0001209191-22-039936 · doc4.xml · nonDerivative · entry 3 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,132,079 F6 · shares: Consists of (i) 1,241 shares purchased by VHCP II, (ii) 502 shares purchased by VHCP Co-2, (iii) 2,685 shares purchased by VHCP III, (iv) 268 shares purchased by VHCP Co-3 and (v) 7,262 shares purchased by VHCP EG. F7 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.46 to $9.77, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of VHCP II and the manager of VHCP Co-2. VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| June 29, 2022 Filed Jun 30, 2022 16:57 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 16,546 | $9.93 | $164,301.78 |
DisclosureSEC source: 0001209191-22-039936 · doc4.xml · nonDerivative · entry 2 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,120,121 F4 · shares: Consists of (i) 1,717 shares purchased by VHCP II, (ii) 695 shares purchased by VHCP Co-2, (iii) 3,715 shares purchased by VHCP III, (iv) 371 shares purchased by VHCP Co-3 and (v) 10,048 shares purchased by VHCP EG. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.87 to $10.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of VHCP II and the manager of VHCP Co-2. VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| June 28, 2022 Filed Jun 30, 2022 16:57 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 34,366 | $9.71 | $333,693.86 |
DisclosureSEC source: 0001209191-22-039936 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,103,575 F1 · shares: Consists of (i) 3,567 shares purchased by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), (ii) 1,442 shares purchased by VHCP Co- Investment Holdings II, LLC ("VHCP Co-2"), (iii) 7,715 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (iv) 769 shares purchased by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (v) 20,873 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.60 to $10.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of VHCP II and the manager of VHCP Co-2. VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| June 24, 2022 Filed Jun 24, 2022 17:51 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 149,120 | $9.68 | $1,443,481.60 |
DisclosureSEC source: 0001209191-22-039309 · doc4.xml · nonDerivative · entry 3 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 7,069,209 F4 · shares: Consists of (i) 15,479 shares purchased by VHCP II, (ii) 6,263 shares purchased by VHCP Co-2, (iii) 33,477 shares purchased by VHCP III, (iv) 3,340 shares purchased by VHCP Co-3 and (v) 90,561 shares purchased by VHCP EG. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.56 to $10.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of VHCP II and the manager of VHCP Co-2. VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| June 23, 2022 Filed Jun 24, 2022 17:51 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 200,000 | $10.50 | $2,100,000.00 |
DisclosureSEC source: 0001209191-22-039309 · doc4.xml · nonDerivative · entry 2 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 6,920,089 F3 · shares: Consists of (i) 20,760 shares purchased by VHCP II, (ii) 8,400 shares purchased by VHCP Co-2, (iii) 44,900 shares purchased by VHCP III, (iv) 4,480 shares purchased by VHCP Co-3 and (v) 121,460 shares purchased by VHCP EG. F2 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of VHCP II and the manager of VHCP Co-2. VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| June 22, 2022 Filed Jun 24, 2022 17:51 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 142,900 | $10.90 | $1,557,610.00 |
DisclosureSEC source: 0001209191-22-039309 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 6,720,089 F1 · shares: Consists of (i) 14,833 shares purchased by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), (ii) 6,002 shares purchased by VHCP Co- Investment Holdings II, LLC ("VHCP Co-2"), (iii) 32,081 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (iv) 3,201 shares purchased by VHCP Co-Investment Holdings III, LLC ("VHCP Co-3") and (v) 86,783 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of VHCP II and the manager of VHCP Co-2. VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| June 16, 2022 Filed Jun 21, 2022 17:12 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 5,951 | $9.69 | $57,665.19 |
DisclosureSEC source: 0001209191-22-038479 · doc4.xml · nonDerivative · entry 1 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By funds Disclosed balance after: 6,577,189 F1 · shares: Consists of (i) 1,565 shares purchased by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (ii) 156 shares purchased by VHCP Co- Investment Holdings III, LLC ("VHCP Co-3") and (iii) 4,230 shares purchased by Venrock Healthcare Capital Partners EG, L.P. ("VHCP EG"). F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.66 to $9.75, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and the manager of VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"). VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| June 14, 2022 Filed Jun 14, 2022 17:00 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 10,000 | $8.72 | $87,200.00 |
DisclosureSEC source: 0001209191-22-036738 · doc4.xml · nonDerivative · entry 3 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 6,571,238 F6 · shares: Consists of (i) 2,629 shares purchased by VHCP III, (ii) 263 shares purchased by VHCP Co-3 and (iii) 7,108 shares purchased by VHCP EG. F7 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.60 to $8.89, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of VHCP II and the manager of VHCP Co-2. VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
| June 13, 2022 Filed Jun 14, 2022 17:00 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 50,000 | $8.14 | $407,000.00 |
DisclosureSEC source: 0001209191-22-036738 · doc4.xml · nonDerivative · entry 2 Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner VHCP Management II, LLC · CIK 0001602263 · 10% owner Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner VHCP Management III, LLC · CIK 0001738053 · 10% owner Venrock Healthcare Capital Partners EG, L.P. · CIK 0001808512 · 10% owner VHCP Management EG, LLC · CIK 0001808518 · 10% owner Koh Bong Y · CIK 0001615979 · 10% owner Shah Nimish P · CIK 0001698082 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 6,561,238 F4 · shares: Consists of (i) 1,762 shares purchased by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), (ii) 713 shares purchased by VHCP Co-Investment Holdings II, LLC ("VHCP Co-2"), (iii) 12,494 shares purchased by VHCP III, (iv) 1,249 shares purchased by VHCP Co-3 and (v) 33,782 shares purchased by VHCP EG. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.02 to $8.28, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: VHCP Management II, LLC ("VHCPM II") is the general partner of VHCP II and the manager of VHCP Co-2. VHCP Management III, LLC ("VHCPM III") is the general partner of VHCP III and the manager of VHCP Co-3. VHCP Management EG, LLC ("VHCPM EG") is the general partner of VHCP EG. Messrs. Shah and Koh are the voting members of VHCPM II, VHCPM III and VHCPM EG. Each of VHCPM II, VHCPM III, VHCPM EG, Shah and Koh expressly disclaims beneficial ownership over all shares held by VHCP II, VHCP Co-2, VHCP III, VHCP Co-3 and VHCP EG except to the extent of its or his indirect pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.