Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| EDAP TMS SAEDAP · Entity 6325 | 10% owner | January 01, 2026 | August 20, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
EDAP TMS SA
Report date January 01, 2026 · Filed August 20, 2026
Jointly reported with Soleus Private Equity Fund III, L.P., Soleus Private Equity GP III, LLC, Soleus PE GP III, LLC, Soleus Capital Master Fund, L.P., Soleus Capital, LLC, Soleus Capital Group, LLC, Soleus Capital Management, L.P., Soleus GP, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| American Depositary Shares Representing Ordinary SharesSEC Table I · non-derivative | IndirectSee footnote | 1,400,000 |
Reported balance
Holding disclosure · report date 2026-01-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,400,000 F1: The reportable securities are owned directly by Soleus Private Equity Fund III, L.P. ("Soleus PE"). Soleus Private Equity GP III, LLC ("Soleus PE GP") is the sole general partner of Soleus PE, Soleus PE GP III, LLC is the sole manager of Soleus PE GP, Soleus Capital Management, L.P. ("SCM") is the investment manager for Soleus PE and for Soleus Capital Master Fund, L.P. ("Master Fund"), and Soleus GP, LLC ("Soleus GP") is the sole general partner of SCM. Guy Levy is the sole managing member of each of Soleus PE GP III, LLC and Soleus GP. F2: Each of Mr. Levy, Soleus PE GP III, LLC, Soleus PE GP, SCM and Soleus GP disclaims beneficial ownership of the securities held by Soleus PE other than for the purpose of determining their reporting obligations under Section 16(a) of the Securities Exchange Act of 1934, as amended, and the filing of this report shall not be deemed an admission that any of the foregoing persons is the beneficial owner of such securities for any other purpose, except to the extent of their respective pecuniary interests therein. |
| American Depositary Shares Representing Ordinary SharesSEC Table I · non-derivative | IndirectSee footnote | 5,909,254 |
Reported balance
Holding disclosure · report date 2026-01-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 5,909,254 F3: The reportable securities are owned directly by Master Fund. Soleus Capital, LLC is the sole general partner of Master Fund, Soleus Capital Group, LLC ("SCG") is the sole managing member of Soleus Capital, LLC, SCM is the investment manager for Soleus PE and for Master Fund, and Soleus GP, LLC is the sole general partner of SCM. Guy Levy is the sole managing member of each of SCG and of Soleus GP, LLC. Each of SCG, Soleus Capital, LLC, SCM, Soleus GP, LLC and Mr. Levy disclaims beneficial ownership of these shares held by Master Fund other than for the purpose of determining their reporting obligations under Section 16(a) of the Exchange Act, and the filing of this report shall not be deemed an admission that any of the foregoing persons is the beneficial owner of such shares for any other purpose. |
| Total Return SwapSEC Table II · derivative / convertible security · Conversion / exercise price $2.22 · Expires 2030-04-11 | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2026-01-01 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F4: Master Fund entered into a total return swap with a counterparty under which Master Fund acquired 3,132,663 "notional" american depositary shares representing ordinary shares of EDAP TMS S.A. ("EDAP"). The swap agreement provides that, upon settlement of the swap on April 11, 2030, Master Fund will pay the purchase price to the counterparty, and the counterparty will pay to Master Fund an amount equal to the then market price of the american depositary shares representing ordinary shares of EDAP subject to such swap agreement. Upon partial or full settlement of the swap, Master Fund will pay to the counterparty accrued interest on the purchase price of the notional shares, at a rate tied to a market index, and the counterparty will pay to the reporting person all dividends and similar distributions on an equivalent number of american depositary shares representing ordinary shares of EDAP. F3: The reportable securities are owned directly by Master Fund. Soleus Capital, LLC is the sole general partner of Master Fund, Soleus Capital Group, LLC ("SCG") is the sole managing member of Soleus Capital, LLC, SCM is the investment manager for Soleus PE and for Master Fund, and Soleus GP, LLC is the sole general partner of SCM. Guy Levy is the sole managing member of each of SCG and of Soleus GP, LLC. Each of SCG, Soleus Capital, LLC, SCM, Soleus GP, LLC and Mr. Levy disclaims beneficial ownership of these shares held by Master Fund other than for the purpose of determining their reporting obligations under Section 16(a) of the Exchange Act, and the filing of this report shall not be deemed an admission that any of the foregoing persons is the beneficial owner of such shares for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The reportable securities are owned directly by Soleus Private Equity Fund III, L.P. ("Soleus PE"). Soleus Private Equity GP III, LLC ("Soleus PE GP") is the sole general partner of Soleus PE, Soleus PE GP III, LLC is the sole manager of Soleus PE GP, Soleus Capital Management, L.P. ("SCM") is the investment manager for Soleus PE and for Soleus Capital Master Fund, L.P. ("Master Fund"), and Soleus GP, LLC ("Soleus GP") is the sole general partner of SCM. Guy Levy is the sole managing member of each of Soleus PE GP III, LLC and Soleus GP.
F2: Each of Mr. Levy, Soleus PE GP III, LLC, Soleus PE GP, SCM and Soleus GP disclaims beneficial ownership of the securities held by Soleus PE other than for the purpose of determining their reporting obligations under Section 16(a) of the Securities Exchange Act of 1934, as amended, and the filing of this report shall not be deemed an admission that any of the foregoing persons is the beneficial owner of such securities for any other purpose, except to the extent of their respective pecuniary interests therein.
F3: The reportable securities are owned directly by Master Fund. Soleus Capital, LLC is the sole general partner of Master Fund, Soleus Capital Group, LLC ("SCG") is the sole managing member of Soleus Capital, LLC, SCM is the investment manager for Soleus PE and for Master Fund, and Soleus GP, LLC is the sole general partner of SCM. Guy Levy is the sole managing member of each of SCG and of Soleus GP, LLC. Each of SCG, Soleus Capital, LLC, SCM, Soleus GP, LLC and Mr. Levy disclaims beneficial ownership of these shares held by Master Fund other than for the purpose of determining their reporting obligations under Section 16(a) of the Exchange Act, and the filing of this report shall not be deemed an admission that any of the foregoing persons is the beneficial owner of such shares for any other purpose.
F4: Master Fund entered into a total return swap with a counterparty under which Master Fund acquired 3,132,663 "notional" american depositary shares representing ordinary shares of EDAP TMS S.A. ("EDAP"). The swap agreement provides that, upon settlement of the swap on April 11, 2030, Master Fund will pay the purchase price to the counterparty, and the counterparty will pay to Master Fund an amount equal to the then market price of the american depositary shares representing ordinary shares of EDAP subject to such swap agreement. Upon partial or full settlement of the swap, Master Fund will pay to the counterparty accrued interest on the purchase price of the notional shares, at a rate tied to a market index, and the counterparty will pay to the reporting person all dividends and similar distributions on an equivalent number of american depositary shares representing ordinary shares of EDAP.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
BioAtla, Inc.
Report date June 16, 2022 · Filed June 22, 2022
Section 16 reporting ended · disclosed 2022-06-22. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
Lyra Therapeutics, Inc.
Report date May 05, 2020 · Filed May 15, 2020
Jointly reported with Soleus Private Equity GP I, LLC, Soleus Private Equity Fund I, L.P., Soleus PE GP I, LLC, Soleus Capital Master Fund, L.P., Soleus Capital, LLC, Soleus Capital Group, LLC
Section 16 reporting ended · disclosed 2020-05-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 338,330 |
Reported balance
After 2020-05-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-05-05 · Conversion · Acquired 338,330 · Balance 338,330 F1: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 442,948 |
Reported balance
After 2020-05-05 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-05-05 · Conversion · Acquired 104,608 · Balance 442,948 F1: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 474,330 |
Reported balance
After 2020-05-05 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2020-05-05 · Other · Acquired 31,382 · Balance 474,330 F1: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F3: On May 5, 2020, Soleus PE exercised a warrant to purchase an aggregate of 31,382 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 16,909 of the warrant shares to pay the exercise price and issued the remaining 14,473 shares of common stock to Soleus PE. The Issuer also paid $13.77 to Soleus PE in lieu of a fractional share. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 457,421 |
Reported balance
After 2020-05-05 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2020-05-05 · Sale · Disposed 16,909 · Balance 457,421 F1: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F3: On May 5, 2020, Soleus PE exercised a warrant to purchase an aggregate of 31,382 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 16,909 of the warrant shares to pay the exercise price and issued the remaining 14,473 shares of common stock to Soleus PE. The Issuer also paid $13.77 to Soleus PE in lieu of a fractional share. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 155,000 |
Reported balance
After 2020-05-05 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2020-05-05 · Purchase · Acquired 155,000 · Balance 155,000 F2: The securities reported in this row are held by Soleus Capital Master Fund, L.P. ("Master Fund"). Soleus Capital, LLC is the sole general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital Group, LLC. Each Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-05-05 · Conversion · Disposed 11,666,666 · Balance 0 F4: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F1: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-05-05 · Conversion · Disposed 3,607,224 · Balance 0 F4: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F1: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common Stock WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $8.63 · Expires 2030-01-27 | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2020-05-05 · Other · Disposed 31,382 · Balance 0 F1: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F3: On May 5, 2020, Soleus PE exercised a warrant to purchase an aggregate of 31,382 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 16,909 of the warrant shares to pay the exercise price and issued the remaining 14,473 shares of common stock to Soleus PE. The Issuer also paid $13.77 to Soleus PE in lieu of a fractional share. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F2: The securities reported in this row are held by Soleus Capital Master Fund, L.P. ("Master Fund"). Soleus Capital, LLC is the sole general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital Group, LLC. Each Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F3: On May 5, 2020, Soleus PE exercised a warrant to purchase an aggregate of 31,382 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 16,909 of the warrant shares to pay the exercise price and issued the remaining 14,473 shares of common stock to Soleus PE. The Issuer also paid $13.77 to Soleus PE in lieu of a fractional share.
F4: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering.
Parabilis Medicines, Inc.
Report date June 11, 2026 · Filed June 29, 2026
Jointly reported with Soleus Private Equity Fund III, L.P., Soleus Private Equity GP III, LLC, Soleus PE GP III, LLC, Soleus Capital Management, L.P., Soleus GP, LLC, Soleus Capital Master Fund, L.P., Soleus Capital, LLC, Soleus Capital Group, LLC
Section 16 reporting ended · disclosed 2026-06-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 1,027,000 |
Reported balance
After 2026-06-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-06-11 · Purchase · Acquired 375,000 · Balance 1,027,000 F4: The reportable securities are owned directly by Soleus Capital Master Fund, L.P. ("MF"). Soleus Capital LLC is the sole general partner of MF, Soleus Capital Group, LLC ("SCG") is the sole managing member of Soleus Capital, LLC, SCM is the investment manager of MF, and Soleus GP is the sole general partner of SCM. Guy Levy is the sole managing member of each of SCG and Soleus GP. Each of Mr. Levy, SCG, Soleus Capital LLC, SCM and Soleus GP disclaims beneficial ownership of the securities held by MF other than for the purpose of determining their obligations under Section 16 of the Exchange Act, and the filing of this report shall not be deemed an admission that any of the foregoing persons is the beneficial owner of such securities for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 652,000 |
Reported balance
After 2026-06-11 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2026-06-11 · Purchase · Acquired 125,000 · Balance 652,000 F2: The reportable securities are owned directly by Soleus Private Equity Fund III, L.P. ("Soleus PE"). Soleus Private Equity GP III, LLC ("Soleus PE GP") is the sole general partner of Soleus PE, Soleus PE GP III, LLC is the sole manager of Soleus PE GP, Soleus Capital Management, L.P. ("SCM") is the investment manager for Soleus PE, and Soleus GP, LLC ("Soleus GP") is the sole general partner of SCM. Guy Levy is the sole managing member of each of Soleus PE GP III, LLC and Soleus GP. F3: Each of Mr. Levy, Soleus PE GP III, LLC, Soleus PE GP, SCM and Soleus GP disclaims beneficial ownership of the securities held by Soleus PE other than for the purpose of determining their obligations under Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the filing of this report shall not be deemed an admission that any of the foregoing persons is the beneficial owner of such securities for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 527,070 |
Reported balance
After 2026-06-11 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2026-06-11 · Conversion · Acquired 527,070 · Balance 527,070 F2: The reportable securities are owned directly by Soleus Private Equity Fund III, L.P. ("Soleus PE"). Soleus Private Equity GP III, LLC ("Soleus PE GP") is the sole general partner of Soleus PE, Soleus PE GP III, LLC is the sole manager of Soleus PE GP, Soleus Capital Management, L.P. ("SCM") is the investment manager for Soleus PE, and Soleus GP, LLC ("Soleus GP") is the sole general partner of SCM. Guy Levy is the sole managing member of each of Soleus PE GP III, LLC and Soleus GP. F3: Each of Mr. Levy, Soleus PE GP III, LLC, Soleus PE GP, SCM and Soleus GP disclaims beneficial ownership of the securities held by Soleus PE other than for the purpose of determining their obligations under Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the filing of this report shall not be deemed an admission that any of the foregoing persons is the beneficial owner of such securities for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series F Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $9.48 | IndirectSee footnote | 0 |
Reported balance
After 2026-06-11 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-06-11 · Conversion · Disposed 527,070 · Balance 0 F1: The Series F Preferred Stock automatically converted into shares of the common stock of the issuer immediately prior to the closing of the issuer's initial public offering without payment of consideration and had no expiration date. F2: The reportable securities are owned directly by Soleus Private Equity Fund III, L.P. ("Soleus PE"). Soleus Private Equity GP III, LLC ("Soleus PE GP") is the sole general partner of Soleus PE, Soleus PE GP III, LLC is the sole manager of Soleus PE GP, Soleus Capital Management, L.P. ("SCM") is the investment manager for Soleus PE, and Soleus GP, LLC ("Soleus GP") is the sole general partner of SCM. Guy Levy is the sole managing member of each of Soleus PE GP III, LLC and Soleus GP. F3: Each of Mr. Levy, Soleus PE GP III, LLC, Soleus PE GP, SCM and Soleus GP disclaims beneficial ownership of the securities held by Soleus PE other than for the purpose of determining their obligations under Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the filing of this report shall not be deemed an admission that any of the foregoing persons is the beneficial owner of such securities for any other purpose, except to the extent of their respective pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series F Preferred Stock automatically converted into shares of the common stock of the issuer immediately prior to the closing of the issuer's initial public offering without payment of consideration and had no expiration date.
F2: The reportable securities are owned directly by Soleus Private Equity Fund III, L.P. ("Soleus PE"). Soleus Private Equity GP III, LLC ("Soleus PE GP") is the sole general partner of Soleus PE, Soleus PE GP III, LLC is the sole manager of Soleus PE GP, Soleus Capital Management, L.P. ("SCM") is the investment manager for Soleus PE, and Soleus GP, LLC ("Soleus GP") is the sole general partner of SCM. Guy Levy is the sole managing member of each of Soleus PE GP III, LLC and Soleus GP.
F3: Each of Mr. Levy, Soleus PE GP III, LLC, Soleus PE GP, SCM and Soleus GP disclaims beneficial ownership of the securities held by Soleus PE other than for the purpose of determining their obligations under Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the filing of this report shall not be deemed an admission that any of the foregoing persons is the beneficial owner of such securities for any other purpose, except to the extent of their respective pecuniary interests therein.
F4: The reportable securities are owned directly by Soleus Capital Master Fund, L.P. ("MF"). Soleus Capital LLC is the sole general partner of MF, Soleus Capital Group, LLC ("SCG") is the sole managing member of Soleus Capital, LLC, SCM is the investment manager of MF, and Soleus GP is the sole general partner of SCM. Guy Levy is the sole managing member of each of SCG and Soleus GP. Each of Mr. Levy, SCG, Soleus Capital LLC, SCM and Soleus GP disclaims beneficial ownership of the securities held by MF other than for the purpose of determining their obligations under Section 16 of the Exchange Act, and the filing of this report shall not be deemed an admission that any of the foregoing persons is the beneficial owner of such securities for any other purpose, except to the extent of their respective pecuniary interests therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 11, 2026 Filed Jun 29, 2026 14:41 UTC | Parabilis Medicines, Inc. PBLS · Entity 3933 | ConversionSeries F Preferred Stock · Derivative | 527,070 | $0.00 Strike: $9.48 | $0.00 |
DisclosureSEC source: 0001213900-26-072928 · ownership.xml · derivative · entry 4 Levy Guy · CIK 0001812305 · 10% owner Soleus Private Equity Fund III, L.P. · CIK 0001955982 · 10% owner Soleus Private Equity GP III, LLC · CIK 0001955973 · 10% owner Soleus PE GP III, LLC · CIK 0002088815 · 10% owner Soleus Capital Management, L.P. · CIK 0001802630 · 10% owner Soleus GP, LLC · CIK 0002088814 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 527,070 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_date: The Series F Preferred Stock automatically converted into shares of the common stock of the issuer immediately prior to the closing of the issuer's initial public offering without payment of consideration and had no expiration date. F1 · derivative.expiration_date: The Series F Preferred Stock automatically converted into shares of the common stock of the issuer immediately prior to the closing of the issuer's initial public offering without payment of consideration and had no expiration date. F2 · ownership.direct: The reportable securities are owned directly by Soleus Private Equity Fund III, L.P. ("Soleus PE"). Soleus Private Equity GP III, LLC ("Soleus PE GP") is the sole general partner of Soleus PE, Soleus PE GP III, LLC is the sole manager of Soleus PE GP, Soleus Capital Management, L.P. ("SCM") is the investment manager for Soleus PE, and Soleus GP, LLC ("Soleus GP") is the sole general partner of SCM. Guy Levy is the sole managing member of each of Soleus PE GP III, LLC and Soleus GP. F3 · ownership.direct: Each of Mr. Levy, Soleus PE GP III, LLC, Soleus PE GP, SCM and Soleus GP disclaims beneficial ownership of the securities held by Soleus PE other than for the purpose of determining their obligations under Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the filing of this report shall not be deemed an admission that any of the foregoing persons is the beneficial owner of such securities for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| June 11, 2026 Filed Jun 29, 2026 14:41 UTC | Parabilis Medicines, Inc. PBLS · Entity 3933 | ConversionCommon Stock, par value $0.0001 per share | 527,070 | $9.48 | $4,996,623.60 |
DisclosureSEC source: 0001213900-26-072928 · ownership.xml · nonDerivative · entry 3 Levy Guy · CIK 0001812305 · 10% owner Soleus Private Equity Fund III, L.P. · CIK 0001955982 · 10% owner Soleus Private Equity GP III, LLC · CIK 0001955973 · 10% owner Soleus PE GP III, LLC · CIK 0002088815 · 10% owner Soleus Capital Management, L.P. · CIK 0001802630 · 10% owner Soleus GP, LLC · CIK 0002088814 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 527,070 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.direct: The reportable securities are owned directly by Soleus Private Equity Fund III, L.P. ("Soleus PE"). Soleus Private Equity GP III, LLC ("Soleus PE GP") is the sole general partner of Soleus PE, Soleus PE GP III, LLC is the sole manager of Soleus PE GP, Soleus Capital Management, L.P. ("SCM") is the investment manager for Soleus PE, and Soleus GP, LLC ("Soleus GP") is the sole general partner of SCM. Guy Levy is the sole managing member of each of Soleus PE GP III, LLC and Soleus GP. F3 · ownership.direct: Each of Mr. Levy, Soleus PE GP III, LLC, Soleus PE GP, SCM and Soleus GP disclaims beneficial ownership of the securities held by Soleus PE other than for the purpose of determining their obligations under Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the filing of this report shall not be deemed an admission that any of the foregoing persons is the beneficial owner of such securities for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| June 11, 2026 Filed Jun 29, 2026 14:41 UTC | Parabilis Medicines, Inc. PBLS · Entity 3933 | PurchaseCommon Stock, par value $0.0001 per share | 125,000 | $20.00 | $2,500,000.00 |
DisclosureSEC source: 0001213900-26-072928 · ownership.xml · nonDerivative · entry 2 Levy Guy · CIK 0001812305 · 10% owner Soleus Private Equity Fund III, L.P. · CIK 0001955982 · 10% owner Soleus Private Equity GP III, LLC · CIK 0001955973 · 10% owner Soleus PE GP III, LLC · CIK 0002088815 · 10% owner Soleus Capital Management, L.P. · CIK 0001802630 · 10% owner Soleus GP, LLC · CIK 0002088814 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 652,000 F2 · ownership.direct: The reportable securities are owned directly by Soleus Private Equity Fund III, L.P. ("Soleus PE"). Soleus Private Equity GP III, LLC ("Soleus PE GP") is the sole general partner of Soleus PE, Soleus PE GP III, LLC is the sole manager of Soleus PE GP, Soleus Capital Management, L.P. ("SCM") is the investment manager for Soleus PE, and Soleus GP, LLC ("Soleus GP") is the sole general partner of SCM. Guy Levy is the sole managing member of each of Soleus PE GP III, LLC and Soleus GP. F3 · ownership.direct: Each of Mr. Levy, Soleus PE GP III, LLC, Soleus PE GP, SCM and Soleus GP disclaims beneficial ownership of the securities held by Soleus PE other than for the purpose of determining their obligations under Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the filing of this report shall not be deemed an admission that any of the foregoing persons is the beneficial owner of such securities for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| June 11, 2026 Filed Jun 29, 2026 14:41 UTC | Parabilis Medicines, Inc. PBLS · Entity 3933 | PurchaseCommon Stock, par value $0.0001 per share | 375,000 | $20.00 | $7,500,000.00 |
DisclosureSEC source: 0001213900-26-072928 · ownership.xml · nonDerivative · entry 1 Levy Guy · CIK 0001812305 · 10% owner Soleus Private Equity Fund III, L.P. · CIK 0001955982 · 10% owner Soleus Private Equity GP III, LLC · CIK 0001955973 · 10% owner Soleus PE GP III, LLC · CIK 0002088815 · 10% owner Soleus Capital Management, L.P. · CIK 0001802630 · 10% owner Soleus GP, LLC · CIK 0002088814 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 1,027,000 F4 · ownership.direct: The reportable securities are owned directly by Soleus Capital Master Fund, L.P. ("MF"). Soleus Capital LLC is the sole general partner of MF, Soleus Capital Group, LLC ("SCG") is the sole managing member of Soleus Capital, LLC, SCM is the investment manager of MF, and Soleus GP is the sole general partner of SCM. Guy Levy is the sole managing member of each of SCG and Soleus GP. Each of Mr. Levy, SCG, Soleus Capital LLC, SCM and Soleus GP disclaims beneficial ownership of the securities held by MF other than for the purpose of determining their obligations under Section 16 of the Exchange Act, and the filing of this report shall not be deemed an admission that any of the foregoing persons is the beneficial owner of such securities for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 30, 2021 Filed Oct 1, 2021 00:00 UTC | BioAtla, Inc. BCAB · Entity 879 | GrantCommon Stock | 267,900 | $28.00 | $7,501,200.00 |
DisclosureSEC source: 0000899243-21-038500 · doc4.xml · nonDerivative · entry 1 Levy Guy · CIK 0001812305 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,115,817 F5 · kind: The shares of common stock were purchased from the issuer in a transaction exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16b-3(d) promulgated thereunder. F1 · ownership.nature: The securities reported in this row are held by Soleus Capital Master Fund, L.P. ("Master Fund"). Soleus Capital, LLC is the sole general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital Group, LLC. Each of Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| August 24, 2021 Filed Aug 27, 2021 00:05 UTC | BioAtla, Inc. BCAB · Entity 879 | SaleCommon Stock | 207,640 | $39.65 | $8,232,926.00 |
DisclosureSEC source: 0000899243-21-034323 · doc4.xml · nonDerivative · entry 3 Levy Guy · CIK 0001812305 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 847,917 F3 · ownership.nature: 3. The securities reported in this row are held by Soleus Capital Master Fund, L.P. ("Master Fund"). Soleus Capital, LLC is the sole general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital Group, LLC. Each of Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| August 24, 2021 Filed Aug 27, 2021 00:05 UTC | BioAtla, Inc. BCAB · Entity 879 | SaleCommon Stock | 53,195 | $39.65 | $2,109,181.75 |
DisclosureSEC source: 0000899243-21-034323 · doc4.xml · nonDerivative · entry 2 Levy Guy · CIK 0001812305 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 217,358 F2 · ownership.nature: The securities reported in this row are held by Soleus BA SPV, LLC ("Soleus SPV "). Soleus GP is the sole managing member of Soleus SPV. Soleus GP holds voting and dispositive power over the shares held by Soleus SPV. Soleus PE GP is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Soleus GP, Soleus PE GP and Mr. Guy Levy disclaims beneficial ownership of these securities held by Soleus SPV and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| August 24, 2021 Filed Aug 27, 2021 00:05 UTC | BioAtla, Inc. BCAB · Entity 879 | SaleCommon Stock | 285,874 | $39.65 | $11,334,904.10 |
DisclosureSEC source: 0000899243-21-034323 · doc4.xml · nonDerivative · entry 1 Levy Guy · CIK 0001812305 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,167,378 F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC ("Soleus PE GP") is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Mr. Guy Levy, Soleus PE GP and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| June 17, 2021 Filed Jun 21, 2021 20:30 UTC | BioAtla, Inc. BCAB · Entity 879 | SaleCommon Stock | 62,780 | $39.16 | $2,458,464.80 |
DisclosureSEC source: 0000899243-21-024991 · doc4.xml · nonDerivative · entry 2 Levy Guy · CIK 0001812305 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 270,553 F2 · ownership.nature: The securities reported in this row are held by Soleus BA SPV, LLC ("Soleus SPV "). Soleus GP is the sole managing member of Soleus SPV. Soleus GP holds voting and dispositive power over the shares held by Soleus SPV. Soleus PE GP is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Soleus GP, Soleus PE GP and Mr. Guy Levy disclaims beneficial ownership of these securities held by Soleus SPV and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| June 17, 2021 Filed Jun 21, 2021 20:30 UTC | BioAtla, Inc. BCAB · Entity 879 | SaleCommon Stock | 337,220 | $39.16 | $13,205,535.20 |
DisclosureSEC source: 0000899243-21-024991 · doc4.xml · nonDerivative · entry 1 Levy Guy · CIK 0001812305 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,453,252 F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC ("Soleus PE GP") is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Mr. Guy Levy, Soleus PE GP and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| June 15, 2021 Filed Jun 17, 2021 01:33 UTC | BioAtla, Inc. BCAB · Entity 879 | GrantStock Option (right to buy) · Derivative | 12,307 | $0.00 Strike: $39.64 | $0.00 |
DisclosureSEC source: 0001209191-21-041226 · doc4.xml · derivative · entry 1 Levy Guy · CIK 0001812305 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,307 Underlying: Common Stock · 12,307 shares Expires 2031-06-15 F1 · derivative.exercise_date: 100% of the total number of shares subject to the Option shall vest and become exercisable on the earlier of (a) June 15, 2022 or (b) the next annual meeting of stockholders, subject to the Optionee continuing to provide services to the Company through the vesting date; provided however, that if the Optionee ceases to provide services to the Company prior to the vesting date for any reason other than Cause (as defined in the Plan), such Option will vest on a pro-rata basis determined by multiplying the total number of shares by a fraction, the numerator of which is the number of whole months that the Optionee provided services to the Company since the date that the award was granted, and the denominator of which is 12 months. Read SEC document |
| December 18, 2020 Filed Dec 22, 2020 21:30 UTC | BioAtla, Inc. BCAB · Entity 879 | ConversionSeries D Convertible Preferred Stock · Derivative | 1,790,472 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-034835 · doc4.xml · derivative · entry 5 Levy Guy · CIK 0001812305 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 1,790,472 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. F4 · derivative.exercise_price: The shares of Series D Convertible Preferred Stock automatically converted into 1,790,472 shares of common stock upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for-13 reverse stock split that became effective on December 2, 2020. F4 · derivative.exercise_date: The shares of Series D Convertible Preferred Stock automatically converted into 1,790,472 shares of common stock upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for-13 reverse stock split that became effective on December 2, 2020. F4 · derivative.expiration_date: The shares of Series D Convertible Preferred Stock automatically converted into 1,790,472 shares of common stock upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for-13 reverse stock split that became effective on December 2, 2020. F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC ("Soleus PE GP") is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Mr. Guy Levy, Soleus PE GP and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| December 18, 2020 Filed Dec 22, 2020 21:30 UTC | BioAtla, Inc. BCAB · Entity 879 | PurchaseCommon Stock | 333,333 | $18.00 | $5,999,994.00 |
DisclosureSEC source: 0000899243-20-034835 · doc4.xml · nonDerivative · entry 3 Levy Guy · CIK 0001812305 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 333,333 F3 · ownership.nature: The securities reported in this row are held by Soleus BA SPV, LLC ("Soleus SPV "). Soleus GP is the sole managing member of Soleus SPV. Soleus GP holds voting and dispositive power over the shares held by Soleus SPV. Soleus PE GP is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Soleus GP, Soleus PE GP and Mr. Guy Levy disclaims beneficial ownership of these securities held by Soleus SPV and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. These securities were purchased in the Issuer's initial public offering. Read SEC document |
| December 18, 2020 Filed Dec 22, 2020 21:30 UTC | BioAtla, Inc. BCAB · Entity 879 | PurchaseCommon Stock | 1,055,557 | $18.00 | $19,000,026.00 |
DisclosureSEC source: 0000899243-20-034835 · doc4.xml · nonDerivative · entry 2 Levy Guy · CIK 0001812305 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,055,557 F2 · ownership.nature: The securities reported in this row are held by Soleus Capital Master Fund, L.P. ("Master Fund"). Soleus Capital, LLC is the sole general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital Group, LLC. Each of Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. These securities were purchased in the Issuer's initial public offering. Read SEC document |
| December 18, 2020 Filed Dec 22, 2020 21:30 UTC | BioAtla, Inc. BCAB · Entity 879 | ConversionCommon Stock | 1,790,472 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-034835 · doc4.xml · nonDerivative · entry 1 Levy Guy · CIK 0001812305 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,790,472 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC ("Soleus PE GP") is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Mr. Guy Levy, Soleus PE GP and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| May 05, 2020 Filed May 15, 2020 22:16 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | OtherCommon Stock Warrant · Derivative | 31,382 | $0.00 Strike: $8.63 | $0.00 |
DisclosureSEC source: 0001493152-20-009217 · ownership.xml · derivative · entry 8 Soleus Private Equity GP I, LLC · CIK 0001812273 · 10% owner Soleus Private Equity Fund I, L.P. · CIK 0001752427 · 10% owner Soleus PE GP I, LLC · CIK 0001812274 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Levy Guy · CIK 0001812305 · 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 · 31,382 shares Expires 2030-01-27 F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: On May 5, 2020, Soleus PE exercised a warrant to purchase an aggregate of 31,382 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 16,909 of the warrant shares to pay the exercise price and issued the remaining 14,473 shares of common stock to Soleus PE. The Issuer also paid $13.77 to Soleus PE in lieu of a fractional share. Read SEC document |
| May 05, 2020 Filed May 15, 2020 22:16 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | ConversionSeries C Convertible Preferred Stock · Derivative | 3,607,224 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-009217 · ownership.xml · derivative · entry 7 Soleus Private Equity GP I, LLC · CIK 0001812273 · 10% owner Soleus Private Equity Fund I, L.P. · CIK 0001752427 · 10% owner Soleus PE GP I, LLC · CIK 0001812274 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Levy Guy · CIK 0001812305 · 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 · 104,608 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. F4 · derivative.exercise_price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F4 · derivative.exercise_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F4 · derivative.expiration_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| May 05, 2020 Filed May 15, 2020 22:16 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | ConversionSeries B Convertible Preferred Stock · Derivative | 11,666,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-009217 · ownership.xml · derivative · entry 6 Soleus Private Equity GP I, LLC · CIK 0001812273 · 10% owner Soleus Private Equity Fund I, L.P. · CIK 0001752427 · 10% owner Soleus PE GP I, LLC · CIK 0001812274 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Levy Guy · CIK 0001812305 · 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 · 338,330 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. F4 · derivative.exercise_price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F4 · derivative.exercise_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F4 · derivative.expiration_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| May 05, 2020 Filed May 15, 2020 22:16 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | PurchaseCommon Stock | 155,000 | $16.00 | $2,480,000.00 |
DisclosureSEC source: 0001493152-20-009217 · ownership.xml · nonDerivative · entry 5 Soleus Private Equity GP I, LLC · CIK 0001812273 · 10% owner Soleus Private Equity Fund I, L.P. · CIK 0001752427 · 10% owner Soleus PE GP I, LLC · CIK 0001812274 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Levy Guy · CIK 0001812305 · 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: 155,000 F2 · ownership.nature: The securities reported in this row are held by Soleus Capital Master Fund, L.P. ("Master Fund"). Soleus Capital, LLC is the sole general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital Group, LLC. Each Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| May 05, 2020 Filed May 15, 2020 22:16 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | SaleCommon Stock | 16,909 | $16.00 | $270,544.00 |
DisclosureSEC source: 0001493152-20-009217 · ownership.xml · nonDerivative · entry 4 Soleus Private Equity GP I, LLC · CIK 0001812273 · 10% owner Soleus Private Equity Fund I, L.P. · CIK 0001752427 · 10% owner Soleus PE GP I, LLC · CIK 0001812274 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Levy Guy · CIK 0001812305 · 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: 457,421 F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: On May 5, 2020, Soleus PE exercised a warrant to purchase an aggregate of 31,382 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 16,909 of the warrant shares to pay the exercise price and issued the remaining 14,473 shares of common stock to Soleus PE. The Issuer also paid $13.77 to Soleus PE in lieu of a fractional share. Read SEC document |
| May 05, 2020 Filed May 15, 2020 22:16 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | OtherCommon Stock | 31,382 | $8.63 | $270,826.66 |
DisclosureSEC source: 0001493152-20-009217 · ownership.xml · nonDerivative · entry 3 Soleus Private Equity GP I, LLC · CIK 0001812273 · 10% owner Soleus Private Equity Fund I, L.P. · CIK 0001752427 · 10% owner Soleus PE GP I, LLC · CIK 0001812274 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Levy Guy · CIK 0001812305 · 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: 474,330 F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: On May 5, 2020, Soleus PE exercised a warrant to purchase an aggregate of 31,382 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 16,909 of the warrant shares to pay the exercise price and issued the remaining 14,473 shares of common stock to Soleus PE. The Issuer also paid $13.77 to Soleus PE in lieu of a fractional share. Read SEC document |
| May 05, 2020 Filed May 15, 2020 22:16 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | ConversionCommon Stock | 104,608 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-009217 · ownership.xml · nonDerivative · entry 2 Soleus Private Equity GP I, LLC · CIK 0001812273 · 10% owner Soleus Private Equity Fund I, L.P. · CIK 0001752427 · 10% owner Soleus PE GP I, LLC · CIK 0001812274 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Levy Guy · CIK 0001812305 · 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: 442,948 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| May 05, 2020 Filed May 15, 2020 22:16 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | ConversionCommon Stock | 338,330 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-009217 · ownership.xml · nonDerivative · entry 1 Soleus Private Equity GP I, LLC · CIK 0001812273 · 10% owner Soleus Private Equity Fund I, L.P. · CIK 0001752427 · 10% owner Soleus PE GP I, LLC · CIK 0001812274 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Levy Guy · CIK 0001812305 · 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: 338,330 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests 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.