Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| 5:01 Acquisition Corp.FVAM · Entity 144989 | Director · Co-CEO · 10% owner | November 30, 2020 | December 01, 2020 |
| ARVINAS, INC.ARVN · Entity 5355 | Director | September 24, 2019 | September 26, 2019 |
| Artiva Biotherapeutics, Inc.ARTV · Entity 5404 | 10% owner | July 22, 2024 | July 24, 2024 |
| Audentes Therapeutics, Inc.BOLD · Entity 122788 | Director | June 08, 2018 | June 08, 2018 |
| Entrada Therapeutics, Inc.TRDA · Entity 2163 | Director | August 06, 2026 | August 10, 2026 |
| IPI Legacy Liquidation CoIMPL · Entity 15659 | 10% owner | April 27, 2021 | April 30, 2021 |
| Latigo Biotherapeutics, Inc.LTGO · Entity 4709 | 10% owner | August 10, 2026 | August 12, 2026 |
| Q32 Bio Inc.FIXX · Entity 5594 | Director | June 15, 2022 | June 17, 2022 |
| Rallybio CorpRLYB · Entity 6838 | Director | May 15, 2024 | May 17, 2024 |
| Skye Bioscience, Inc.SKYE · Entity 8098 | 10% owner | September 22, 2026 | September 24, 2026 |
| Vor Biopharma Inc.VOR · Entity 4763 | Director · 10% owner | June 14, 2022 | June 16, 2022 |
| scPharmaceuticals Inc.SCPH · Entity 74456 | Director | June 19, 2018 | June 21, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
5:01 Acquisition Corp.
Report date November 30, 2020 · Filed December 01, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 1,944,068 |
Reported balance
After 2020-11-30 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-11-30 · Other · Disposed 235,932 · Balance 1,944,068 F1: The shares of Class B common stock are convertible into shares of the issuer's Class A common stock on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date. F2: Represents the forfeiture of 235,932 previously reported shares owned by 5:01 Acquisition LLC that were subject to forfeiture in the event the underwriters of the initial public offering of the issuer's securities did not exercise in full their over-allotment option as described in the issuer's registration statement. F3: Consists of shares held by 5:01 Acquisition LLC of which the Reporting Person is a manager. As such, the Reporting Person has voting and investment discretion and may be deemed to have beneficial ownership with respect to the shares held by 5:01 Acquisition LLC. The Reporting Person disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Class B common stock are convertible into shares of the issuer's Class A common stock on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date.
F2: Represents the forfeiture of 235,932 previously reported shares owned by 5:01 Acquisition LLC that were subject to forfeiture in the event the underwriters of the initial public offering of the issuer's securities did not exercise in full their over-allotment option as described in the issuer's registration statement.
F3: Consists of shares held by 5:01 Acquisition LLC of which the Reporting Person is a manager. As such, the Reporting Person has voting and investment discretion and may be deemed to have beneficial ownership with respect to the shares held by 5:01 Acquisition LLC. The Reporting Person disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.
ARVINAS, INC.
Report date September 24, 2019 · Filed September 26, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,775 |
Reported balance
After 2019-09-24 transaction · row 1
1 source rowRow 1 · 2019-09-24 · Gift · Disposed 1,700 · Balance 1,775 |
Artiva Biotherapeutics, Inc.
Report date July 22, 2024 · Filed July 24, 2024
Jointly reported with 5AM Partners VI, LLC, 5AM Ventures VI, L.P., 5AM Opportunities II (GP), LLC, 5AM Opportunities II, L.P., Schwab Andrew J.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures VI, L.P. | 1,171,250 |
Last balance in matching sequence
After 2024-07-22 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2024-07-22 · Conversion · Acquired 1,058,284 · Balance 1,058,284 F1: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F2: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Row 2 · 2024-07-22 · Other · Acquired 112,966 · Balance 1,171,250 F3: Represents the conversion of outstanding simple agreement for future equity in the amount of $1,152,253.93 into shares of the Issuer's common stock upon closing of the Issuer's IPO at a 15% discount to the IPO price. F2: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities II, L.P. | 1,182,054 |
Last balance in matching sequence
After 2024-07-22 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 3 · 2024-07-22 · Other · Acquired 348,721 · Balance 348,721 F4: Represents the conversion of outstanding simple agreement for future equity in the amount of $3,556,957.78 into shares of the Issuer's common stock upon closing of the Issuer's IPO at a 15% discount to the IPO price. F5: Shares are held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the general partner of Opportunities II and may be deemed to have sole investment and voting power over the shares held by Opportunities II. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II. Each of Opportunities II GP, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Row 4 · 2024-07-22 · Purchase · Acquired 833,333 · Balance 1,182,054 F5: Shares are held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the general partner of Opportunities II and may be deemed to have sole investment and voting power over the shares held by Opportunities II. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II. Each of Opportunities II GP, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectBy 5AM Ventures VI, L.P. | 0 |
Reported balance
After 2024-07-22 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2024-07-22 · Conversion · Disposed 843,592 · Balance 0 F1: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F2: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy 5AM Ventures VI, L.P. | 0 |
Reported balance
After 2024-07-22 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2024-07-22 · Conversion · Disposed 214,692 · Balance 0 F1: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F2: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date.
F2: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.
F3: Represents the conversion of outstanding simple agreement for future equity in the amount of $1,152,253.93 into shares of the Issuer's common stock upon closing of the Issuer's IPO at a 15% discount to the IPO price.
F4: Represents the conversion of outstanding simple agreement for future equity in the amount of $3,556,957.78 into shares of the Issuer's common stock upon closing of the Issuer's IPO at a 15% discount to the IPO price.
F5: Shares are held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the general partner of Opportunities II and may be deemed to have sole investment and voting power over the shares held by Opportunities II. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II. Each of Opportunities II GP, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.
Audentes Therapeutics, Inc.
Report date June 08, 2018 · Filed June 08, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $38.65 · Expires 2028-06-08 | Direct | 10,000 |
Reported balance
After 2018-06-08 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-08 · Grant · Acquired 10,000 · Balance 10,000 F1: The option vests as to 100% of the shares upon the earliest of (i) the Company's 2019 annual meeting of stockholders, (ii) the one-year anniversary of the grant date, and (iii) a Corporate Transaction of the Company as defined in the Company's 2016 Equity Incentive Plan; subject to the reporting person's continued service to the Company on the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests as to 100% of the shares upon the earliest of (i) the Company's 2019 annual meeting of stockholders, (ii) the one-year anniversary of the grant date, and (iii) a Corporate Transaction of the Company as defined in the Company's 2016 Equity Incentive Plan; subject to the reporting person's continued service to the Company on the vesting date.
Entrada Therapeutics, Inc.
Report date August 06, 2026 · Filed August 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures V, L.P. | 2,836,098 |
Reported balance
After 2026-08-06 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-08-06 · Sale · Disposed 10,494 · Balance 2,836,098 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.90 to $7.11 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Kush M. Parmar, M.D., Ph.D. is a managing member of 5AM Partners and may be deemed to share voting and investment power over the shares held by 5AM V. Dr. Parmar disclaims beneficial ownership of the shares held by 5AM V except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures V, L.P. | 2,783,781 |
Reported balance
After 2026-08-07 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2026-08-07 · Sale · Disposed 52,317 · Balance 2,783,781 F3: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $6.80 to $7.01 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures V, L.P. | 2,691,337 |
Reported balance
After 2026-08-10 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2026-08-10 · Sale · Disposed 92,444 · Balance 2,691,337 F4: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $6.84 to $7.20 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote. F2: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Kush M. Parmar, M.D., Ph.D. is a managing member of 5AM Partners and may be deemed to share voting and investment power over the shares held by 5AM V. Dr. Parmar disclaims beneficial ownership of the shares held by 5AM V except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities I, L.P. | 1,093,313 |
Reported balance
Holding disclosure · report date 2026-08-06 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 1,093,313 F5: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Kush M. Parmar, M.D., Ph.D. is a managing member of Opportunities GP and may be deemed to share voting and investment power over the shares held by Opportunities. Dr. Parmar disclaims beneficial ownership of the shares held by Opportunities except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.90 to $7.11 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F2: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Kush M. Parmar, M.D., Ph.D. is a managing member of 5AM Partners and may be deemed to share voting and investment power over the shares held by 5AM V. Dr. Parmar disclaims beneficial ownership of the shares held by 5AM V except to the extent of his pecuniary interest therein.
F3: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $6.80 to $7.01 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.
F4: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $6.84 to $7.20 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.
F5: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Kush M. Parmar, M.D., Ph.D. is a managing member of Opportunities GP and may be deemed to share voting and investment power over the shares held by Opportunities. Dr. Parmar disclaims beneficial ownership of the shares held by Opportunities except to the extent of his pecuniary interest therein.
IPI Legacy Liquidation Co
Report date April 27, 2021 · Filed April 30, 2021
Jointly reported with 5AM Ventures V, L.P., 5AM Partners V, LLC, ROCKLAGE SCOTT M, Schwab Andrew J., 5AM Opportunities I, L.P., 5AM Opportunities I (GP), LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 808,259 |
Reported balance
After 2021-04-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-04-27 · Conversion · Acquired 808,259 · Balance 808,259 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,348,524 |
Reported balance
After 2021-04-27 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-04-27 · Conversion · Acquired 540,265 · Balance 1,348,524 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,849,456 |
Reported balance
After 2021-04-27 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2021-04-27 · Conversion · Acquired 500,932 · Balance 1,849,456 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 2,208,334 |
Reported balance
After 2021-04-27 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2021-04-27 · Conversion · Acquired 358,878 · Balance 2,208,334 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 2,309,791 |
Reported balance
After 2021-04-27 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2021-04-27 · Conversion · Acquired 101,457 · Balance 2,309,791 F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 575,000 |
Reported balance
After 2021-04-27 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2021-04-27 · Purchase · Acquired 575,000 · Balance 575,000 F3: The shares are directly held by 5AM Opportunities I, L.P ("Opportunities LP"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities LP. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities LP. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares held directly by Opportunities LP, except to the extent of its or his pecuniary interest therein. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-04-27 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-04-27 · Conversion · Disposed 13,233,885 · Balance 0 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Series C-2 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-04-27 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-04-27 · Conversion · Disposed 8,845,942 · Balance 0 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Series C-3 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-04-27 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2021-04-27 · Conversion · Disposed 8,201,930 · Balance 0 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Series D Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-04-27 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2021-04-27 · Conversion · Disposed 5,876,034 · Balance 0 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| 5% Convertible Note due 2021SEC Table II · derivative / convertible security · Conversion / exercise price $13.50 · Expires 2021-12-31 | IndirectSee Footnote | 0 |
Reported balance
After 2021-04-27 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2021-04-27 · Conversion · Disposed 1,359,799.28 · Balance 0 F4: Represents the principal amount of the Note. F5: The outstanding principal and accrued interest on the convertible promissory note automatically converted into shares of Common Stock upon the closing of the IPO at a conversion price of $13.50 per share. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date.
F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
F3: The shares are directly held by 5AM Opportunities I, L.P ("Opportunities LP"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities LP. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities LP. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares held directly by Opportunities LP, except to the extent of its or his pecuniary interest therein.
F4: Represents the principal amount of the Note.
F5: The outstanding principal and accrued interest on the convertible promissory note automatically converted into shares of Common Stock upon the closing of the IPO at a conversion price of $13.50 per share.
Latigo Biotherapeutics, Inc.
Report date August 10, 2026 · Filed August 12, 2026
Jointly reported with 5AM Ventures VI, L.P., 5AM Partners VI, LLC, 5AM Opportunities II, L.P., 5AM Opportunities II (GP), LLC, Schwab Andrew J.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures VI, L.P. | 4,975,543 |
Reported balance
After 2026-08-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-08-10 · Conversion · Acquired 4,975,543 · Balance 4,975,543 F1: Each share of Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a one-for-one basis. The Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock had no expiration date. F2: The securities are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the securities beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities II, L.P. | 2,350,419 |
Reported balance
After 2026-08-10 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2026-08-10 · Conversion · Acquired 2,350,419 · Balance 2,350,419 F1: Each share of Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a one-for-one basis. The Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock had no expiration date. F3: The securities are directly held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the general partner of Opportunities II and may be deemed to have sole investment and voting power over the securities held by Opportunities II. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the securities beneficially owned by Opportunities II. Each of Opportunities II GP, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectBy 5AM Ventures VI, L.P. | 0 |
Reported balance
After 2026-08-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-08-10 · Conversion · Disposed 3,152,305 · Balance 0 F1: Each share of Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a one-for-one basis. The Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock had no expiration date. F2: The securities are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the securities beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. |
| Series A-2 Preferred StockSEC Table II · derivative / convertible security | IndirectBy 5AM Ventures VI, L.P. | 0 |
Reported balance
After 2026-08-10 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-08-10 · Conversion · Disposed 1,823,238 · Balance 0 F1: Each share of Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a one-for-one basis. The Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock had no expiration date. F2: The securities are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the securities beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. |
| Series A-2 Preferred StockSEC Table II · derivative / convertible security | IndirectBy 5AM Opportunities II, L.P. | 0 |
Reported balance
After 2026-08-10 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-08-10 · Conversion · Disposed 866,018 · Balance 0 F1: Each share of Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a one-for-one basis. The Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock had no expiration date. F3: The securities are directly held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the general partner of Opportunities II and may be deemed to have sole investment and voting power over the securities held by Opportunities II. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the securities beneficially owned by Opportunities II. Each of Opportunities II GP, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy 5AM Opportunities II, L.P. | 0 |
Reported balance
After 2026-08-10 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-08-10 · Conversion · Disposed 1,484,401 · Balance 0 F1: Each share of Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a one-for-one basis. The Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock had no expiration date. F3: The securities are directly held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the general partner of Opportunities II and may be deemed to have sole investment and voting power over the securities held by Opportunities II. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the securities beneficially owned by Opportunities II. Each of Opportunities II GP, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a one-for-one basis. The Series A Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock had no expiration date.
F2: The securities are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the securities beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein.
F3: The securities are directly held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the general partner of Opportunities II and may be deemed to have sole investment and voting power over the securities held by Opportunities II. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the securities beneficially owned by Opportunities II. Each of Opportunities II GP, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein.
Q32 Bio Inc.
Report date June 15, 2022 · Filed June 17, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.88 · Expires 2032-06-15 | Direct | 18,000 |
Reported balance
After 2022-06-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-06-15 · Grant · Acquired 18,000 · Balance 18,000 F1: This option shall vest and become exercisable on the earlier of June 15, 2023 or the day immediately prior to the date of the Issuer's next annual meeting of stockholders occurring after the date of grant, in either case subject to the Reporting Person continuing in service on the Board as a Non-Employee Director through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: This option shall vest and become exercisable on the earlier of June 15, 2023 or the day immediately prior to the date of the Issuer's next annual meeting of stockholders occurring after the date of grant, in either case subject to the Reporting Person continuing in service on the Board as a Non-Employee Director through such vesting date.
Rallybio Corp
Report date May 15, 2024 · Filed May 17, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.91 · Expires 2034-05-15 | Direct | 16,500 |
Reported balance
After 2024-05-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-05-15 · Grant · Acquired 16,500 · Balance 16,500 F1: The option was granted under the Company's 2021 Equity Incentive Plan. The option vests on the earlier of May 15, 2025 or the date of the Company's 2025 Annual Meeting of Stockholders. |
Filing footnotes · ownership attribution and instrument terms
F1: The option was granted under the Company's 2021 Equity Incentive Plan. The option vests on the earlier of May 15, 2025 or the date of the Company's 2025 Annual Meeting of Stockholders.
Skye Bioscience, Inc.
Report date September 22, 2026 · Filed September 24, 2026
Jointly reported with 5AM Partners VII, LLC, 5AM Ventures VII, L.P., 5AM Partners II, LLC, 5AM Ventures II LP, 5AM CO-INVESTORS II LP, DIEKMAN JOHN D, ROCKLAGE SCOTT M
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures II, L.P. | 0 |
Last balance in matching sequence
After 2026-09-23 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2026-09-22 · Sale · Disposed 27,612 · Balance 114,851 F1: The securities are directly held by 5AM Ventures II, L.P. ("Ventures II"). 5AM Partners II, LLC ("Partners II") is the sole general partner of Ventures II. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners II and may be deemed to have shared voting and investment power over the securities beneficially owned by Ventures II. Each of Partners II, Dr. Diekman and Dr. Rocklage disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Mr. Schwab is a director of the Issuer and files separate Section 16 reports. Row 3 · 2026-09-23 · Sale · Disposed 114,851 · Balance 0 F3: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $1.60 to $1.77 inclusive. The Reporting 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. F1: The securities are directly held by 5AM Ventures II, L.P. ("Ventures II"). 5AM Partners II, LLC ("Partners II") is the sole general partner of Ventures II. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners II and may be deemed to have shared voting and investment power over the securities beneficially owned by Ventures II. Each of Partners II, Dr. Diekman and Dr. Rocklage disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Mr. Schwab is a director of the Issuer and files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Co-Investors II, L.P. | 0 |
Last balance in matching sequence
After 2026-09-23 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2026-09-22 · Sale · Disposed 1,088 · Balance 4,528 F2: The securities are directly held by 5AM Co-Investors II, L.P. ("Co-Investors II"). Partners II is the sole general partner of Co-Investors II. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners II and may be deemed to have shared voting and investment power over the securities beneficially owned by Co-Investors II. Each of Partners II, Dr. Diekman and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Mr. Schwab is a director of the Issuer and files separate Section 16 reports. Row 4 · 2026-09-23 · Sale · Disposed 4,528 · Balance 0 F3: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $1.60 to $1.77 inclusive. The Reporting 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: The securities are directly held by 5AM Co-Investors II, L.P. ("Co-Investors II"). Partners II is the sole general partner of Co-Investors II. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners II and may be deemed to have shared voting and investment power over the securities beneficially owned by Co-Investors II. Each of Partners II, Dr. Diekman and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Mr. Schwab is a director of the Issuer and files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures VII, L.P. | 981,269 |
Reported balance
Holding disclosure · report date 2026-09-22 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 981,269 F4: The securities are directly held by 5AM Ventures VII, L.P. ("Ventures VII"). 5AM Partners VII, LLC ("Partners VII") is the sole general partner of Ventures VII. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VII and may be deemed to have shared voting and investment power over the securities beneficially owned by Ventures VII. Each of Partners VII and Dr. Parmar disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Mr. Schwab is a director of the Issuer and files separate Section 16 reports. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by 5AM Ventures II, L.P. ("Ventures II"). 5AM Partners II, LLC ("Partners II") is the sole general partner of Ventures II. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners II and may be deemed to have shared voting and investment power over the securities beneficially owned by Ventures II. Each of Partners II, Dr. Diekman and Dr. Rocklage disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Mr. Schwab is a director of the Issuer and files separate Section 16 reports.
F2: The securities are directly held by 5AM Co-Investors II, L.P. ("Co-Investors II"). Partners II is the sole general partner of Co-Investors II. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners II and may be deemed to have shared voting and investment power over the securities beneficially owned by Co-Investors II. Each of Partners II, Dr. Diekman and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Mr. Schwab is a director of the Issuer and files separate Section 16 reports.
F3: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $1.60 to $1.77 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.
F4: The securities are directly held by 5AM Ventures VII, L.P. ("Ventures VII"). 5AM Partners VII, LLC ("Partners VII") is the sole general partner of Ventures VII. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VII and may be deemed to have shared voting and investment power over the securities beneficially owned by Ventures VII. Each of Partners VII and Dr. Parmar disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Mr. Schwab is a director of the Issuer and files separate Section 16 reports.
Vor Biopharma Inc.
Report date June 14, 2022 · Filed June 16, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.26 · Expires 2032-06-13 | Direct | 16,911 |
Reported balance
After 2022-06-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-06-14 · Grant · Acquired 16,911 · Balance 16,911 F1: This option was granted to the Reporting Person pursuant to the Issuer's non-employee director compensation policy. The shares underlying the option vest and become exercisable on the earlier of (i) June 14, 2023 or (ii) the Issuer's next annual meeting of stockholders following the grant date, in each case, subject to the Reporting Person's continued service as a director through such date. |
Filing footnotes · ownership attribution and instrument terms
F1: This option was granted to the Reporting Person pursuant to the Issuer's non-employee director compensation policy. The shares underlying the option vest and become exercisable on the earlier of (i) June 14, 2023 or (ii) the Issuer's next annual meeting of stockholders following the grant date, in each case, subject to the Reporting Person's continued service as a director through such date.
scPharmaceuticals Inc.
Report date June 19, 2018 · Filed June 21, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.53 · Expires 2028-06-19 | Direct | 6,124 |
Reported balance
After 2018-06-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-19 · Grant · Acquired 6,124 · Balance 6,124 F1: This stock option vests in full upon the earlier of (i) June 19, 2019, and (ii) the next annual meeting of the Issuer's stockholders. |
Filing footnotes · ownership attribution and instrument terms
F1: This stock option vests in full upon the earlier of (i) June 19, 2019, and (ii) the next annual meeting of the Issuer's stockholders.
Past disclosures · reporting ended (6)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Akouos, Inc.
Report date November 30, 2022 · Filed December 02, 2022
Section 16 reporting ended · disclosed 2022-12-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2022-11-30 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2022-11-30 · Other · Disposed 3,153,333 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for (i) $12.50 per Share, net to the stockholder in cash, without interest (the "Cash Consideration") and less any applicable tax withholding, plus [Continued on Note 2] F2: [Continuation of Note 1] (ii) one non-tradable contingent value right ("CVR") per Share, which represents the contractual right to receive contingent payments of up to $3.00 per CVR, net to the stockholder in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a Contingent Value Rights Agreement, dated as of November 30, 2022, by and among Parent, Merger Sub, Computershare Inc. and Computershare Trust Company, N.A. F3: Shares were held directly by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the general partner of Ventures V and may be deemed to have sole investment and voting power over the Shares held by Ventures V. The Reporting Person is a Managing Member of Partners V and may be deemed to have shared voting and dispositive power over the Shares held by Ventures V. Therefore, the Reporting Person may be deemed to have beneficially owned the Shares held by Ventures V. The Reporting Person disclaims beneficial ownership over the Shares held by Ventures V except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2022-11-30 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2022-11-30 · Other · Disposed 982,453 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for (i) $12.50 per Share, net to the stockholder in cash, without interest (the "Cash Consideration") and less any applicable tax withholding, plus [Continued on Note 2] F2: [Continuation of Note 1] (ii) one non-tradable contingent value right ("CVR") per Share, which represents the contractual right to receive contingent payments of up to $3.00 per CVR, net to the stockholder in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a Contingent Value Rights Agreement, dated as of November 30, 2022, by and among Parent, Merger Sub, Computershare Inc. and Computershare Trust Company, N.A. F4: Shares were held directly by 5AM Opportunities I, L.P. ("Opportunities I"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the general partner of Opportunities I and may be deemed to have sole investment and voting power over the Shares held by Opportunities I. The Reporting Person is a Managing Member of Opportunities GP and may be deemed to have shared voting and dispositive power over the Shares held by Opportunities I. Therefore, the Reporting Person may be deemed to have beneficially owned the Shares held by Opportunities I. The Reporting Person disclaims beneficial ownership over the Shares held by Opportunities I except to the extent of his pecuniary interest therein. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.21 · Expires 2032-06-22 | Direct | 0 |
Reported balance
After 2022-12-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-12-01 · Disposition to issuer · Disposed 16,000 · Balance 0 F5: At the effective time of the merger (the "Effective Time"), pursuant to the Merger Agreement, each outstanding option to purchase Shares having an exercise price less than $12.50 per Share, whether or not vested, was cancelled and converted into the right to receive (x) an amount in cash, without interest and less any applicable tax withholdings, equal to the product of (A) the total number of Shares subject to such option immediately prior to the Effective Time multiplied by (B) the excess, if any, of the Cash Consideration over the applicable exercise price per Share under such option and (y) one CVR for each Share subject to such option immediately prior to the Effective Time (without regard to vesting). |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for (i) $12.50 per Share, net to the stockholder in cash, without interest (the "Cash Consideration") and less any applicable tax withholding, plus [Continued on Note 2]
F2: [Continuation of Note 1] (ii) one non-tradable contingent value right ("CVR") per Share, which represents the contractual right to receive contingent payments of up to $3.00 per CVR, net to the stockholder in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a Contingent Value Rights Agreement, dated as of November 30, 2022, by and among Parent, Merger Sub, Computershare Inc. and Computershare Trust Company, N.A.
F3: Shares were held directly by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the general partner of Ventures V and may be deemed to have sole investment and voting power over the Shares held by Ventures V. The Reporting Person is a Managing Member of Partners V and may be deemed to have shared voting and dispositive power over the Shares held by Ventures V. Therefore, the Reporting Person may be deemed to have beneficially owned the Shares held by Ventures V. The Reporting Person disclaims beneficial ownership over the Shares held by Ventures V except to the extent of his pecuniary interest therein.
F4: Shares were held directly by 5AM Opportunities I, L.P. ("Opportunities I"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the general partner of Opportunities I and may be deemed to have sole investment and voting power over the Shares held by Opportunities I. The Reporting Person is a Managing Member of Opportunities GP and may be deemed to have shared voting and dispositive power over the Shares held by Opportunities I. Therefore, the Reporting Person may be deemed to have beneficially owned the Shares held by Opportunities I. The Reporting Person disclaims beneficial ownership over the Shares held by Opportunities I except to the extent of his pecuniary interest therein.
F5: At the effective time of the merger (the "Effective Time"), pursuant to the Merger Agreement, each outstanding option to purchase Shares having an exercise price less than $12.50 per Share, whether or not vested, was cancelled and converted into the right to receive (x) an amount in cash, without interest and less any applicable tax withholdings, equal to the product of (A) the total number of Shares subject to such option immediately prior to the Effective Time multiplied by (B) the excess, if any, of the Cash Consideration over the applicable exercise price per Share under such option and (y) one CVR for each Share subject to such option immediately prior to the Effective Time (without regard to vesting).
Aprea Therapeutics, Inc.
Report date October 05, 2020 · Filed October 08, 2020
Jointly reported with 5AM Ventures IV, L.P., 5AM Co-Investors IV, L.P., 5AM Partners IV, LLC, 5AM Opportunities I, L.P., 5AM Opportunities I (GP), LLC, DIEKMAN JOHN D, Schwab Andrew J., ROCKLAGE SCOTT M
Section 16 reporting ended · disclosed 2020-10-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 138,497 |
Reported balance
After 2020-10-05 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2020-10-05 · Sale · Disposed 175,000 · Balance 138,497 F1: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4. F2: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,823,192 |
Reported balance
Holding disclosure · report date 2020-10-05 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,823,192 F3: Shares are held directly by 5AM Ventures IV, L.P. F4: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 75,965 |
Reported balance
Holding disclosure · report date 2020-10-05 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 75,965 F5: Shares are held directly by 5AM Co-Investors IV, L.P. F4: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4.
F2: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein.
F3: Shares are held directly by 5AM Ventures IV, L.P.
F4: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein.
F5: Shares are held directly by 5AM Co-Investors IV, L.P.
Cabaletta Bio, Inc.
Report date November 01, 2021 · Filed November 03, 2021
Jointly reported with 5AM Ventures V, L.P., 5AM Opportunities I (GP), LLC, 5AM Opportunities I, L.P., 5AM Partners V, LLC, ROCKLAGE SCOTT M, Schwab Andrew J.
Section 16 reporting ended · disclosed 2021-11-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,731,119 |
Reported balance
After 2021-11-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-11-01 · Sale · Disposed 258,456 · Balance 1,731,119 F1: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock held by 5AM V, except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 333,144 |
Reported balance
After 2021-11-01 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-11-01 · Sale · Disposed 36,544 · Balance 333,144 F2: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock held by 5AM V, except to the extent of its or his pecuniary interest therein.
F2: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein.
Camp4 Therapeutics Corp
Report date August 03, 2026 · Filed August 05, 2026
Jointly reported with 5AM Partners VI, LLC, 5AM Ventures VI, L.P., 5AM Opportunities II (GP), LLC, 5AM Opportunities II, L.P., 5AM Partners VII, LLC, 5AM Ventures VII, L.P.
Section 16 reporting ended · disclosed 2026-08-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Pre-Funded Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy 5AM Ventures VII, L.P. | 3,179,558 |
Reported balance
After 2026-08-03 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-08-03 · Purchase · Acquired 3,179,558 · Balance 3,179,558 F1: The Pre-Funded Warrant has no expiration date and is exercisable immediately. Notwithstanding the foregoing, 5AM Ventures VII, L.P. ("Ventures VII") shall not be entitled to exercise the Pre-Funded Warrant to the extent that it would cause the aggregate number of shares of Common Stock beneficially owned by Ventures VII, together with its Attribution Parties (as defined in the Pre-Funded Warrant), to exceed 9.99% of the total number of issued and outstanding shares of Common Stock of the Issuer following such exercise. F2: The shares are directly held by Ventures VII. 5AM Partners VII, LLC ("Partners VII") is the sole general partner of Ventures VII. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VII and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VII. Each of Partners VII and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Mr. Schwab is a director of the Issuer and files separate Section 16 reports. |
Filing footnotes · ownership attribution and instrument terms
F1: The Pre-Funded Warrant has no expiration date and is exercisable immediately. Notwithstanding the foregoing, 5AM Ventures VII, L.P. ("Ventures VII") shall not be entitled to exercise the Pre-Funded Warrant to the extent that it would cause the aggregate number of shares of Common Stock beneficially owned by Ventures VII, together with its Attribution Parties (as defined in the Pre-Funded Warrant), to exceed 9.99% of the total number of issued and outstanding shares of Common Stock of the Issuer following such exercise.
F2: The shares are directly held by Ventures VII. 5AM Partners VII, LLC ("Partners VII") is the sole general partner of Ventures VII. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VII and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VII. Each of Partners VII and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Mr. Schwab is a director of the Issuer and files separate Section 16 reports.
CinCor Pharma, Inc.
Report date February 24, 2023 · Filed February 28, 2023
Jointly reported with 5AM Partners VI, LLC, 5AM Ventures VI, L.P., 5AM Opportunities I, L.P., Schwab Andrew J., 5AM Opportunities II (GP), LLC, 5AM Opportunities II, L.P., 5AM Opportunities I (GP), LLC
Section 16 reporting ended · disclosed 2023-02-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures VI, L.P. | 0 |
Reported balance
After 2023-02-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-02-24 · Other · Disposed 3,953,990 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (2)] F2: [continues from footnote (1)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F3: Shares are held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities II, L.P. | 0 |
Reported balance
After 2023-02-24 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-02-24 · Other · Disposed 487,333 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (2)] F2: [continues from footnote (1)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F4: Shares are held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the sole general partner of Opportunities II. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II. Each of Opportunities II GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities I, L.P. | 0 |
Reported balance
After 2023-02-24 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-02-24 · Other · Disposed 496,323 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (2)] F2: [continues from footnote (1)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F5: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (2)]
F2: [continues from footnote (1)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price.
F3: Shares are held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
F4: Shares are held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the sole general partner of Opportunities II. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II. Each of Opportunities II GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
F5: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Enliven Therapeutics, Inc.
Report date February 14, 2024 · Filed February 16, 2024
Jointly reported with 5AM Partners VI, LLC, 5AM Ventures VI, L.P., 5AM Opportunities I (GP), LLC, 5AM Opportunities I, L.P., Schwab Andrew J.
Section 16 reporting ended · disclosed 2024-02-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AMVentures VI, L.P. | 3,200,634 |
Reported balance
After 2024-02-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-02-14 · Sale · Disposed 688,358 · Balance 3,200,634 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.89 to $14.93 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities I, L.P. | 635,341 |
Reported balance
After 2024-02-14 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2024-02-14 · Sale · Disposed 136,642 · Balance 635,341 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.89 to $14.93 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3: The shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.89 to $14.93 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F2: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.
F3: The shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his respective pecuniary interest therein.
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 11, 2022 Filed Jan 13, 2022 21:45 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | PurchaseCommon Stock | 312,500 | $16.00 | $5,000,000.00 |
DisclosureSEC source: 0001209191-22-003205 · doc4.xml · nonDerivative · entry 4 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 496,323 F3 · ownership.nature: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| January 11, 2022 Filed Jan 13, 2022 21:45 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | PurchaseCommon Stock | 157,500 | $16.00 | $2,520,000.00 |
DisclosureSEC source: 0001209191-22-003205 · doc4.xml · nonDerivative · entry 3 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures VI, L.P. Disclosed balance after: 3,841,323 F2 · ownership.nature: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| January 11, 2022 Filed Jan 13, 2022 21:45 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | ConversionCommon Stock | 183,823 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-003205 · doc4.xml · nonDerivative · entry 2 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 183,823 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 3.4:1 basis, and had no expiration date. F3 · ownership.nature: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| January 11, 2022 Filed Jan 13, 2022 21:45 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | ConversionCommon Stock | 3,683,823 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-003205 · doc4.xml · nonDerivative · entry 1 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures VI, L.P. Disclosed balance after: 3,683,823 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 3.4:1 basis, and had no expiration date. F2 · ownership.nature: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| January 03, 2022 Filed Jan 6, 2022 01:38 UTC | Rallybio Corp RLYB · Entity 6838 | GrantOption (Right to Buy) · Derivative | 5,772 | $0.00 Strike: $10.38 | $0.00 |
DisclosureSEC source: 0000899243-22-001058 · doc4.xml · derivative · entry 1 PARMAR KUSH · CIK 0001664281 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,772 Underlying: Common Stock · 5,772 shares Expires 2032-01-03 F1 · derivative.exercise_date: The option vests as to the underlying shares of Common Stock in 12 equal installments, each on the last day of each month of calendar year 2022. Read SEC document |
| November 16, 2021 Filed Nov 19, 2021 01:10 UTC | Vor Biopharma Inc. VOR · Entity 4763 | SaleCommon Stock | 91,836 | $15.30 | $1,405,090.80 |
DisclosureSEC source: 0001209191-21-065656 · doc4.xml · nonDerivative · entry 2 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,766,634 F2 · ownership.nature: The shares are directly held by 5AM Opportunities I, L.P. 5AM Opportunities I (GP), LLC is the general partner of 5AM Opportunities I, L.P. The Reporting Person is a managing member of 5AM Opportunities I (GP), LLC, and may be deemed to share voting and dispositive power over the shares held by 5AM Opportunities I, L.P. The reporting person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| November 16, 2021 Filed Nov 19, 2021 01:10 UTC | Vor Biopharma Inc. VOR · Entity 4763 | SaleCommon Stock | 238,870 | $15.30 | $3,654,711.00 |
DisclosureSEC source: 0001209191-21-065656 · doc4.xml · nonDerivative · entry 1 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 4,595,089 F1 · ownership.nature: The shares are directly held by 5AM Ventures VI, L.P. 5AM Partners VI, LLC is the general partner of 5AM Ventures VI, L.P. The Reporting Person is a managing member of 5AM Partners VI, LLC, and may be deemed to share voting and dispositive power over the shares held by 5AM Ventures VI, L.P. The reporting person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| November 02, 2021 Filed Nov 5, 2021 12:49 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | ConversionSeries B Preferred Stock · Derivative | 318,140 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-134772 · tm2132054-3_4seq1.xml · derivative · entry 11 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 318,140 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F1 · price: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F1 · derivative.exercise_date: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F1 · derivative.expiration_date: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F3 · ownership.nature: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Kush M. Parmar, M.D., Ph.D. is a managing member of Opportunities GP and may be deemed to share voting and investment power over the shares held by Opportunities. Dr. Parmar disclaims beneficial ownership of the shares held by Opportunities except to the extent of his pecuniary interest therein. Read SEC document |
| November 02, 2021 Filed Nov 5, 2021 12:49 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | ConversionSeries B Preferred Stock · Derivative | 254,512 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-134772 · tm2132054-3_4seq1.xml · derivative · entry 10 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 254,512 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F1 · price: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F1 · derivative.exercise_date: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F1 · derivative.expiration_date: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F2 · ownership.nature: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Kush M. Parmar, M.D., Ph.D. is a managing member of 5AM Partners and may be deemed to share voting and investment power over the shares held by 5AM V. Dr. Parmar disclaims beneficial ownership of the shares held by 5AM V except to the extent of his pecuniary interest therein. Read SEC document |
| November 02, 2021 Filed Nov 5, 2021 12:49 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | ConversionSeries A Preferred Stock · Derivative | 564,217 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-134772 · tm2132054-3_4seq1.xml · derivative · entry 9 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 564,217 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F1 · price: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F1 · derivative.exercise_date: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F1 · derivative.expiration_date: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F3 · ownership.nature: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Kush M. Parmar, M.D., Ph.D. is a managing member of Opportunities GP and may be deemed to share voting and investment power over the shares held by Opportunities. Dr. Parmar disclaims beneficial ownership of the shares held by Opportunities except to the extent of his pecuniary interest therein. Read SEC document |
| November 02, 2021 Filed Nov 5, 2021 12:49 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | ConversionSeries A Preferred Stock · Derivative | 2,371,739 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-134772 · tm2132054-3_4seq1.xml · derivative · entry 8 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 2,371,739 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F1 · price: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F1 · derivative.exercise_date: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F1 · derivative.expiration_date: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F2 · ownership.nature: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Kush M. Parmar, M.D., Ph.D. is a managing member of 5AM Partners and may be deemed to share voting and investment power over the shares held by 5AM V. Dr. Parmar disclaims beneficial ownership of the shares held by 5AM V except to the extent of his pecuniary interest therein. Read SEC document |
| November 02, 2021 Filed Nov 5, 2021 12:49 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | ConversionSeries Seed Preferred Stock · Derivative | 318,616 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-134772 · tm2132054-3_4seq1.xml · derivative · entry 7 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 318,616 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F1 · price: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F1 · derivative.exercise_date: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F1 · derivative.expiration_date: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F2 · ownership.nature: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Kush M. Parmar, M.D., Ph.D. is a managing member of 5AM Partners and may be deemed to share voting and investment power over the shares held by 5AM V. Dr. Parmar disclaims beneficial ownership of the shares held by 5AM V except to the extent of his pecuniary interest therein. Read SEC document |
| November 02, 2021 Filed Nov 5, 2021 12:49 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | PurchaseCommon Stock | 250,000 | $20.00 | $5,000,000.00 |
DisclosureSEC source: 0001104659-21-134772 · tm2132054-3_4seq1.xml · nonDerivative · entry 6 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,132,357 F3 · ownership.nature: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Kush M. Parmar, M.D., Ph.D. is a managing member of Opportunities GP and may be deemed to share voting and investment power over the shares held by Opportunities. Dr. Parmar disclaims beneficial ownership of the shares held by Opportunities except to the extent of his pecuniary interest therein. F4 · ownership.nature: On November 2, 2021, Opportunities purchased 250,000 shares of Common Stock of the Issuer at a price of $20.00 per share pursuant to an underwritten public offering. Read SEC document |
| November 02, 2021 Filed Nov 5, 2021 12:49 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | ConversionCommon Stock | 318,140 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-134772 · tm2132054-3_4seq1.xml · nonDerivative · entry 5 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 882,357 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F3 · ownership.nature: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Kush M. Parmar, M.D., Ph.D. is a managing member of Opportunities GP and may be deemed to share voting and investment power over the shares held by Opportunities. Dr. Parmar disclaims beneficial ownership of the shares held by Opportunities except to the extent of his pecuniary interest therein. Read SEC document |
| November 02, 2021 Filed Nov 5, 2021 12:49 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | ConversionCommon Stock | 254,512 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-134772 · tm2132054-3_4seq1.xml · nonDerivative · entry 4 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,276,022 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F2 · ownership.nature: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Kush M. Parmar, M.D., Ph.D. is a managing member of 5AM Partners and may be deemed to share voting and investment power over the shares held by 5AM V. Dr. Parmar disclaims beneficial ownership of the shares held by 5AM V except to the extent of his pecuniary interest therein. Read SEC document |
| November 02, 2021 Filed Nov 5, 2021 12:49 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | ConversionCommon Stock | 564,217 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-134772 · tm2132054-3_4seq1.xml · nonDerivative · entry 3 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 564,217 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F3 · ownership.nature: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Kush M. Parmar, M.D., Ph.D. is a managing member of Opportunities GP and may be deemed to share voting and investment power over the shares held by Opportunities. Dr. Parmar disclaims beneficial ownership of the shares held by Opportunities except to the extent of his pecuniary interest therein. Read SEC document |
| November 02, 2021 Filed Nov 5, 2021 12:49 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | ConversionCommon Stock | 2,371,739 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-134772 · tm2132054-3_4seq1.xml · nonDerivative · entry 2 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,021,510 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F2 · ownership.nature: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Kush M. Parmar, M.D., Ph.D. is a managing member of 5AM Partners and may be deemed to share voting and investment power over the shares held by 5AM V. Dr. Parmar disclaims beneficial ownership of the shares held by 5AM V except to the extent of his pecuniary interest therein. Read SEC document |
| November 02, 2021 Filed Nov 5, 2021 12:49 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | ConversionCommon Stock | 318,616 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-134772 · tm2132054-3_4seq1.xml · nonDerivative · entry 1 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 649,771 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the Issuer's Series Seed Preferred Stock, Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for- 7.235890014 reverse stock split which became effective on October 22, 2021. The Series A Preferred Stock and Series B Preferred Stock have no expiration date. F2 · ownership.nature: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Kush M. Parmar, M.D., Ph.D. is a managing member of 5AM Partners and may be deemed to share voting and investment power over the shares held by 5AM V. Dr. Parmar disclaims beneficial ownership of the shares held by 5AM V except to the extent of his pecuniary interest therein. Read SEC document |
| November 01, 2021 Filed Nov 3, 2021 20:38 UTC | Cabaletta Bio, Inc. CABA · Entity 5418 | SaleCommon Stock | 36,544 | $13.00 | $475,072.00 |
DisclosureSEC source: 0001209191-21-062716 · doc4.xml · nonDerivative · entry 2 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 333,144 F2 · ownership.nature: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein. Read SEC document |
| November 01, 2021 Filed Nov 3, 2021 20:38 UTC | Cabaletta Bio, Inc. CABA · Entity 5418 | SaleCommon Stock | 258,456 | $13.00 | $3,359,928.00 |
DisclosureSEC source: 0001209191-21-062716 · doc4.xml · nonDerivative · entry 1 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,731,119 F1 · ownership.nature: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock held by 5AM V, except to the extent of its or his pecuniary interest therein. Read SEC document |
| October 28, 2021 Filed Nov 2, 2021 01:48 UTC | Entrada Therapeutics, Inc. (TRDA · Entity 2163 | GrantStock Option (Right to Buy) · Derivative | 23,552 | $0.00 Strike: $20.00 | $0.00 |
DisclosureSEC source: 0001104659-21-132545 · tm2131250-21_4.xml · derivative · entry 1 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,552 Underlying: Common stock · 23,552 shares Expires 2031-10-28 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable in 36 equal monthly installments, commencing on October 28, 2021 (the "Vesting Start Date"), such that the option shares shall be fully vested on the three-year anniversary of the Vesting Start Date. Read SEC document |
| September 07, 2021 Filed Sep 9, 2021 21:34 UTC | Cabaletta Bio, Inc. CABA · Entity 5418 | SaleCommon Stock | 625,000 | $9.70 | $6,062,500.00 |
DisclosureSEC source: 0001209191-21-055343 · doc4.xml · nonDerivative · entry 1 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,989,575 F1 · ownership.nature: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock held by 5AM V, except to the extent of its or his pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 5, 2021 01:19 UTC | Rallybio Corp RLYB · Entity 6838 | PurchaseCommon Stock | 615,384 | $13.00 | $7,999,992.00 |
DisclosureSEC source: 0001209191-21-049823 · doc4.xml · nonDerivative · entry 3 PARMAR KUSH · CIK 0001664281 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · 5AM Opportunities I, L.P. Disclosed balance after: 1,406,098 F3 · ownership.nature: These securities are held directly by 5AM Opportunities I, L.P. ("Opportunities I, L.P."). 5AM Opportunities I (GP), LLC ("Opportunities I (GP)") is the general partner of Opportunities I, L.P. Dr. Parmar is a managing member of Opportunities I (GP), and may be deemed to share voting and dispositive power over the securities held by Opportunities I, L.P. Dr. Parmar disclaims beneficial ownership of the securities held by Opportunities I, L.P. except to the extent of his pecuniary interest therein. Read SEC document |
| July 28, 2021 Filed Aug 5, 2021 01:19 UTC | Rallybio Corp RLYB · Entity 6838 | GrantOption (Right to Buy) · Derivative | 13,440 | $0.00 Strike: $13.00 | $0.00 |
DisclosureSEC source: 0001209191-21-049823 · doc4.xml · derivative · entry 8 PARMAR KUSH · CIK 0001664281 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,440 Underlying: Common Stock · 13,440 shares Expires not disclosed F5 · derivative.exercise_date: The option vests as to the underlying shares of Common Stock on the earlier of July 28, 2022 and the date of the first annual meeting of stockholders of the Issuer following the closing of its initial public offering. F5 · derivative.expiration_date: The option vests as to the underlying shares of Common Stock on the earlier of July 28, 2022 and the date of the first annual meeting of stockholders of the Issuer following the closing of its initial public offering. Read SEC document |
| July 28, 2021 Filed Aug 5, 2021 01:19 UTC | Rallybio Corp RLYB · Entity 6838 | OtherSeries B Preferred Units · Derivative | 5,034,955 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-049823 · doc4.xml · derivative · entry 7 PARMAR KUSH · CIK 0001664281 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · 5AM Opportunities I, L.P. Disclosed balance after: 0 Underlying: Common Stock · 790,714 shares Expires not disclosed F1 · derivative.exercise_price: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · kind: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · price: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · derivative.exercise_date: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · derivative.expiration_date: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F4 · derivative.underlying: Prior to the effectiveness of the Plan of Liquidation, the Preferred Units were convertible into common units of Rallybio Holdings, LLC. F3 · ownership.nature: These securities are held directly by 5AM Opportunities I, L.P. ("Opportunities I, L.P."). 5AM Opportunities I (GP), LLC ("Opportunities I (GP)") is the general partner of Opportunities I, L.P. Dr. Parmar is a managing member of Opportunities I (GP), and may be deemed to share voting and dispositive power over the securities held by Opportunities I, L.P. Dr. Parmar disclaims beneficial ownership of the securities held by Opportunities I, L.P. except to the extent of his pecuniary interest therein. Read SEC document |
| July 28, 2021 Filed Aug 5, 2021 01:19 UTC | Rallybio Corp RLYB · Entity 6838 | OtherSeries B Preferred Units · Derivative | 7,192,795 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-049823 · doc4.xml · derivative · entry 6 PARMAR KUSH · CIK 0001664281 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · 5AM Ventures V, LP. Disclosed balance after: 0 Underlying: Common Stock · 1,129,592 shares Expires not disclosed F1 · derivative.exercise_price: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · kind: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · price: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · derivative.exercise_date: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · derivative.expiration_date: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F4 · derivative.underlying: Prior to the effectiveness of the Plan of Liquidation, the Preferred Units were convertible into common units of Rallybio Holdings, LLC. F2 · ownership.nature: These securities are held directly by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Dr. Parmar is a managing member of Partners V and may be deemed to share voting and investment power over the securities held by Ventures V. Dr. Parmar disclaims beneficial ownership of the securities held by Ventures V except to the extent of his pecuniary interest therein. Read SEC document |
| July 28, 2021 Filed Aug 5, 2021 01:19 UTC | Rallybio Corp RLYB · Entity 6838 | OtherSeries A-2 Preferred Units · Derivative | 8,742,654 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-049823 · doc4.xml · derivative · entry 5 PARMAR KUSH · CIK 0001664281 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · 5AM Ventures V, LP. Disclosed balance after: 0 Underlying: Common Stock · 1,372,990 shares Expires not disclosed F1 · derivative.exercise_price: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · kind: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · price: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · derivative.exercise_date: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · derivative.expiration_date: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F4 · derivative.underlying: Prior to the effectiveness of the Plan of Liquidation, the Preferred Units were convertible into common units of Rallybio Holdings, LLC. F2 · ownership.nature: These securities are held directly by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Dr. Parmar is a managing member of Partners V and may be deemed to share voting and investment power over the securities held by Ventures V. Dr. Parmar disclaims beneficial ownership of the securities held by Ventures V except to the extent of his pecuniary interest therein. Read SEC document |
| July 28, 2021 Filed Aug 5, 2021 01:19 UTC | Rallybio Corp RLYB · Entity 6838 | OtherSeries A-1 Preferred Units · Derivative | 1,795,946 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-049823 · doc4.xml · derivative · entry 4 PARMAR KUSH · CIK 0001664281 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · 5AM Ventures V, LP. Disclosed balance after: 0 Underlying: Common Stock · 282,044 shares Expires not disclosed F1 · derivative.exercise_price: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · kind: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · price: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · derivative.exercise_date: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · derivative.expiration_date: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F4 · derivative.underlying: Prior to the effectiveness of the Plan of Liquidation, the Preferred Units were convertible into common units of Rallybio Holdings, LLC. F2 · ownership.nature: These securities are held directly by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Dr. Parmar is a managing member of Partners V and may be deemed to share voting and investment power over the securities held by Ventures V. Dr. Parmar disclaims beneficial ownership of the securities held by Ventures V except to the extent of his pecuniary interest therein. Read SEC document |
| July 28, 2021 Filed Aug 5, 2021 01:19 UTC | Rallybio Corp RLYB · Entity 6838 | OtherCommon Stock | 790,714 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-049823 · doc4.xml · nonDerivative · entry 2 PARMAR KUSH · CIK 0001664281 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · 5AM Opportunities I, L.P. Disclosed balance after: 790,714 F1 · kind: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · price: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F3 · ownership.nature: These securities are held directly by 5AM Opportunities I, L.P. ("Opportunities I, L.P."). 5AM Opportunities I (GP), LLC ("Opportunities I (GP)") is the general partner of Opportunities I, L.P. Dr. Parmar is a managing member of Opportunities I (GP), and may be deemed to share voting and dispositive power over the securities held by Opportunities I, L.P. Dr. Parmar disclaims beneficial ownership of the securities held by Opportunities I, L.P. except to the extent of his pecuniary interest therein. Read SEC document |
| July 28, 2021 Filed Aug 5, 2021 01:19 UTC | Rallybio Corp RLYB · Entity 6838 | OtherCommon Stock | 2,784,626 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-049823 · doc4.xml · nonDerivative · entry 1 PARMAR KUSH · CIK 0001664281 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · 5AM Ventures V, L.P. Disclosed balance after: 2,784,626 F1 · kind: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F1 · price: The Series A-1 Preferred Units, Series A-2 Preferred Units and Series B Preferred units (collectively, the "Preferred Units") reported herein were preferred units of Rallybio Holdings, LLC. The shares of common stock of the Issuer were received on July 28, 2021 pursuant to the Plan of Liquidation and Dissolution, dated July 28, 2021, among Rallybio Holdings, LLC and its members (the "Plan of Liquidation"). Pursuant to the Plan of Liquidation, the holders of Preferred Units received approximately 6.37 shares of common stock of the Issuer for each Preferred Unit. Rallybio Holdings, LLC was subsequently dissolved. The Preferred Units had no expiration date prior to the liquidation. F2 · ownership.nature: These securities are held directly by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Dr. Parmar is a managing member of Partners V and may be deemed to share voting and investment power over the securities held by Ventures V. Dr. Parmar disclaims beneficial ownership of the securities held by Ventures V except to the extent of his pecuniary interest therein. Read SEC document |
| June 24, 2021 Filed Jun 25, 2021 16:38 UTC | Akouos, Inc. AKUS · Entity 11574 | GrantStock Option (right to buy) · Derivative | 16,000 | $0.00 Strike: $13.39 | $0.00 |
DisclosureSEC source: 0001104659-21-085766 · tm2120686-6_4seq1.xml · derivative · entry 1 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2031-06-23 F1 · derivative.exercise_date: This option was granted on June 24, 2021. The shares underlying the option will fully vest on the earlier of (i) June 24, 2022 and (ii) the date of the Issuer's 2022 annual meeting of stockholders. Read SEC document |
| June 17, 2021 Filed Jun 22, 2021 21:40 UTC | Q32 Bio Inc. FIXX · Entity 5594 | GrantOption (Right to Buy) · Derivative | 18,000 | $0.00 Strike: $7.26 | $0.00 |
DisclosureSEC source: 0000899243-21-025334 · doc4.xml · derivative · entry 1 PARMAR KUSH · CIK 0001664281 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 18,000 shares Expires 2031-06-17 F1 · derivative.exercise_date: This option shall vest and become exercisable on the earlier of June 17, 2022 or the day immediately prior to the date of the Issuer's next annual meeting of stockholders occurring after the date of grant, in either case subject to the Reporting Person continuing in service on the Board as a Non-Employee Director through such vesting date. Read SEC document |
| April 27, 2021 Filed Apr 30, 2021 00:51 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | Conversion5% Convertible Note due 2021 · Derivative | 1,359,799.28 | $0.00 Strike: $13.50 | $0.00 |
DisclosureSEC source: 0001209191-21-029136 · doc4.xml · derivative · entry 11 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 101,457 shares Expires 2021-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · shares: Represents the principal amount of the Note. F5 · derivative.exercise_date: The outstanding principal and accrued interest on the convertible promissory note automatically converted into shares of Common Stock upon the closing of the IPO at a conversion price of $13.50 per share. F2 · ownership.nature: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 30, 2021 00:51 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionSeries D Preferred Stock · Derivative | 5,876,034 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-029136 · doc4.xml · derivative · entry 10 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 358,878 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F1 · derivative.exercise_date: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F1 · derivative.expiration_date: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2 · ownership.nature: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 30, 2021 00:51 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionSeries C-3 Preferred Stock · Derivative | 8,201,930 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-029136 · doc4.xml · derivative · entry 9 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 500,932 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F1 · derivative.exercise_date: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F1 · derivative.expiration_date: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2 · ownership.nature: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 30, 2021 00:51 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionSeries C-2 Preferred Stock · Derivative | 8,845,942 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-029136 · doc4.xml · derivative · entry 8 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 540,265 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F1 · derivative.exercise_date: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F1 · derivative.expiration_date: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2 · ownership.nature: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 30, 2021 00:51 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionSeries C-1 Preferred Stock · Derivative | 13,233,885 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-029136 · doc4.xml · derivative · entry 7 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 808,259 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F1 · derivative.exercise_date: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F1 · derivative.expiration_date: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2 · ownership.nature: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 30, 2021 00:51 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | PurchaseCommon Stock | 575,000 | $15.00 | $8,625,000.00 |
DisclosureSEC source: 0001209191-21-029136 · doc4.xml · nonDerivative · entry 6 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 575,000 F3 · ownership.nature: The shares are directly held by 5AM Opportunities I, L.P ("Opportunities LP"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities LP. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities LP. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares held directly by Opportunities LP, except to the extent of its or his pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 30, 2021 00:51 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionCommon Stock | 101,457 | $13.50 | $1,369,669.50 |
DisclosureSEC source: 0001209191-21-029136 · doc4.xml · nonDerivative · entry 5 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,309,791 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · ownership.nature: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 30, 2021 00:51 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionCommon Stock | 358,878 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-029136 · doc4.xml · nonDerivative · entry 4 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,208,334 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2 · ownership.nature: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 30, 2021 00:51 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionCommon Stock | 500,932 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-029136 · doc4.xml · nonDerivative · entry 3 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,849,456 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2 · ownership.nature: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 30, 2021 00:51 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionCommon Stock | 540,265 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-029136 · doc4.xml · nonDerivative · entry 2 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,348,524 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2 · ownership.nature: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| April 27, 2021 Filed Apr 30, 2021 00:51 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | ConversionCommon Stock | 808,259 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-029136 · doc4.xml · nonDerivative · entry 1 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 808,259 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2 · ownership.nature: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| April 22, 2021 Filed Apr 26, 2021 21:55 UTC | IPI Legacy Liquidation Co IMPL · Entity 15659 | Other5% Convertible Note due 2021 · Derivative | 1,359,799.28 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-028361 · doc4.xml · derivative · entry 1 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,359,799.28 Underlying: Common Stock · 101,457 shares Expires 2021-12-31 F1 · derivative.exercise_price: The convertible promissory note (the "Note") was issued by the Issuer in March 2021 and the outstanding principal and accrued interest on the Note will automatically convert into the number of shares of Common Stock upon the closing of the initial public offering (the "IPO") at a conversion price of $13.50 per share (90% of the public offering price in the IPO). F2 · kind: Because, at the time of the effectiveness of the Issuer's registration of its Common Stock under the Securities Exchange Act, the conversion price of the Note had not yet been determined, the Note was not reportable on the Reporting Persons' Form 3. The conversion price of the Note became fixed on April 22, 2021 upon the pricing of the IPO, which resulted in the Note becoming reportable under Section 16 of the Securities Exchange Act. F3 · shares: Represents the principal amount of the Note. F1 · derivative.exercise_date: The convertible promissory note (the "Note") was issued by the Issuer in March 2021 and the outstanding principal and accrued interest on the Note will automatically convert into the number of shares of Common Stock upon the closing of the initial public offering (the "IPO") at a conversion price of $13.50 per share (90% of the public offering price in the IPO). F4 · ownership.nature: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 22:15 UTC | Vor Biopharma Inc. VOR · Entity 4763 | ConversionSeries B Preferred Stock · Derivative | 19,230,768 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-008888 · doc4.xml · derivative · entry 9 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 1,414,026 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series A-2 Preferred Stock and Series B 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 13.6 for-one basis, and had no expiration date. F1 · derivative.exercise_date: Each share of Series A-2 Preferred Stock and Series B 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 13.6 for-one basis, and had no expiration date. F1 · derivative.expiration_date: Each share of Series A-2 Preferred Stock and Series B 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 13.6 for-one basis, and had no expiration date. F3 · ownership.nature: The shares are directly held by 5AM Opportunities I, L.P. 5AM Opportunities I (GP), LLC is the general partner of 5AM Opportunities I, L.P. The Reporting Person is a managing member of 5AM Opportunities I (GP), LLC, and may be deemed to share voting and dispositive power over the shares held by 5AM Opportunities I, L.P. The reporting person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 22:15 UTC | Vor Biopharma Inc. VOR · Entity 4763 | ConversionSeries B Preferred Stock · Derivative | 19,230,768 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-008888 · doc4.xml · derivative · entry 8 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 1,414,026 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series A-2 Preferred Stock and Series B 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 13.6 for-one basis, and had no expiration date. F1 · derivative.exercise_date: Each share of Series A-2 Preferred Stock and Series B 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 13.6 for-one basis, and had no expiration date. F1 · derivative.expiration_date: Each share of Series A-2 Preferred Stock and Series B 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 13.6 for-one basis, and had no expiration date. F2 · ownership.nature: The shares are directly held by 5AM Ventures VI, L.P. 5AM Partners VI, LLC is the general partner of 5AM Ventures VI, L.P. The Reporting Person is a managing member of 5AM Partners VI, LLC, and may be deemed to share voting and dispositive power over the shares held by 5AM Ventures VI, L.P. The reporting person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 22:15 UTC | Vor Biopharma Inc. VOR · Entity 4763 | ConversionSeries A-2 Preferred Stock · Derivative | 45,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-008888 · doc4.xml · derivative · entry 7 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 3,308,822 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series A-2 Preferred Stock and Series B 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 13.6 for-one basis, and had no expiration date. F1 · derivative.exercise_date: Each share of Series A-2 Preferred Stock and Series B 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 13.6 for-one basis, and had no expiration date. F1 · derivative.expiration_date: Each share of Series A-2 Preferred Stock and Series B 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 13.6 for-one basis, and had no expiration date. F2 · ownership.nature: The shares are directly held by 5AM Ventures VI, L.P. 5AM Partners VI, LLC is the general partner of 5AM Ventures VI, L.P. The Reporting Person is a managing member of 5AM Partners VI, LLC, and may be deemed to share voting and dispositive power over the shares held by 5AM Ventures VI, L.P. The reporting person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 22:15 UTC | Vor Biopharma Inc. VOR · Entity 4763 | PurchaseCommon Stock | 444,444 | $18.00 | $7,999,992.00 |
DisclosureSEC source: 0001209191-21-008888 · doc4.xml · nonDerivative · entry 5 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,858,470 F3 · ownership.nature: The shares are directly held by 5AM Opportunities I, L.P. 5AM Opportunities I (GP), LLC is the general partner of 5AM Opportunities I, L.P. The Reporting Person is a managing member of 5AM Opportunities I (GP), LLC, and may be deemed to share voting and dispositive power over the shares held by 5AM Opportunities I, L.P. The reporting person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 22:15 UTC | Vor Biopharma Inc. VOR · Entity 4763 | ConversionCommon Stock | 1,414,026 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-008888 · doc4.xml · nonDerivative · entry 4 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,414,026 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series A-2 Preferred Stock and Series B 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 13.6 for-one basis, and had no expiration date. F3 · ownership.nature: The shares are directly held by 5AM Opportunities I, L.P. 5AM Opportunities I (GP), LLC is the general partner of 5AM Opportunities I, L.P. The Reporting Person is a managing member of 5AM Opportunities I (GP), LLC, and may be deemed to share voting and dispositive power over the shares held by 5AM Opportunities I, L.P. The reporting person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 22:15 UTC | Vor Biopharma Inc. VOR · Entity 4763 | PurchaseCommon Stock | 111,111 | $18.00 | $1,999,998.00 |
DisclosureSEC source: 0001209191-21-008888 · doc4.xml · nonDerivative · entry 3 PARMAR KUSH · CIK 0001664281 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 4,833,959 F2 · ownership.nature: The shares are directly held by 5AM Ventures VI, L.P. 5AM Partners VI, LLC is the general partner of 5AM Ventures VI, L.P. The Reporting Person is a managing member of 5AM Partners VI, LLC, and may be deemed to share voting and dispositive power over the shares held by 5AM Ventures VI, L.P. The reporting person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.