Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARDELYX, INC.ARDX · Entity 4972 | 10% owner | December 09, 2019 | December 09, 2019 |
| Achaogen, Inc.AKAO · Entity 158957 | 10% owner | June 01, 2018 | June 29, 2018 |
| Annexon, Inc.ANNX · Entity 5011 | 10% owner | July 23, 2020 | July 23, 2020 |
| Arcellx, Inc.ACLX · Entity 15294 | 10% owner | December 20, 2022 | December 22, 2022 |
| Black Diamond Therapeutics, Inc.BDTX · Entity 6669 | 10% owner | January 29, 2020 | January 30, 2020 |
| Eargo, Inc.EAR · Entity 94112 | 10% owner | May 24, 2021 | May 26, 2021 |
| Inozyme Pharma, Inc.INZY · Entity 77717 | 10% owner | July 28, 2020 | July 28, 2020 |
| MBX Biosciences, Inc.MBX · Entity 4247 | 10% owner | September 16, 2024 | September 18, 2024 |
| Marker Therapeutics, Inc.MRKR · Entity 7609 | 10% owner | December 23, 2024 | December 23, 2024 |
| Monte Rosa Therapeutics, Inc.GLUE · Entity 4828 | 10% owner | June 28, 2021 | June 30, 2021 |
| Nkarta, Inc.NKTK · Entity 6346 | 10% owner | July 14, 2020 | July 16, 2020 |
| OnKure Therapeutics, Inc.RPHM · Entity 6550 | 10% owner | April 13, 2021 | April 15, 2021 |
| Robinhood Markets, Inc.HOOD · Entity 584 | Director | May 02, 2022 | May 04, 2022 |
| SYNLOGIC, INC.SYBX · Entity 7801 | Director · 10% owner | July 27, 2026 | August 14, 2026 |
| Savara IncSVRA · Entity 4900 | 10% owner | July 17, 2023 | July 19, 2023 |
| Senti Biosciences Holdings, Inc.SNTI · Entity 7935 | 10% owner | March 10, 2025 | March 13, 2025 |
| SpyGlass Pharma, Inc.SGP · Entity 5034 | 10% owner | February 09, 2026 | February 11, 2026 |
| Tempest Therapeutics, Inc.MLND · Entity 7734 | 10% owner | December 07, 2018 | December 12, 2018 |
| Trevi Therapeutics, Inc.TRVI · Entity 4387 | 10% owner | December 31, 2025 | February 13, 2026 |
| Verona Pharma plcVRNA · Entity 74409 | 10% owner | January 01, 2021 | January 05, 2021 |
| X4 Pharmaceuticals, IncASNS · Entity 5638 | 10% owner | November 20, 2017 | November 20, 2017 |
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.
ARDELYX, INC.
Report date December 09, 2019 · Filed December 09, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 3,482,186 |
Reported balance
After 2019-12-09 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-12-09 · Grant · Acquired 400,000 · Balance 3,482,186 F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 3,082,186 |
Reported balance
Holding disclosure · report date 2019-12-09 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,082,186 F2: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest.
F2: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest.
Achaogen, Inc.
Report date June 01, 2018 · Filed June 29, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 5,215,128 |
Reported balance
Holding disclosure · report date 2018-06-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 5,215,128 F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.66 · Expires 2021-06-03 | IndirectSee Note 1 | Not disclosed |
Reported balance
Holding disclosure · report date 2018-06-01 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F2: The Warrants are immediately exercisable upon issuance, however the Warrants may not be exercised to the extent such exercise would cause the holder of such Warrants (together with the holder's affiliates, and any other persons acting as a group together with the holder or any of the holder's affiliates) to beneficially own more than 19.99% of the Common Stock of the Issuer then outstanding. F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.
F2: The Warrants are immediately exercisable upon issuance, however the Warrants may not be exercised to the extent such exercise would cause the holder of such Warrants (together with the holder's affiliates, and any other persons acting as a group together with the holder or any of the holder's affiliates) to beneficially own more than 19.99% of the Common Stock of the Issuer then outstanding.
Annexon, Inc.
Report date July 23, 2020 · Filed July 23, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | Not disclosed |
Reported balance
Holding disclosure · report date 2020-07-23 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: The shares of Series B Preferred Stock will automatically convert on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. The shares have no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | Not disclosed |
Reported balance
Holding disclosure · report date 2020-07-23 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F3: The shares of Series C Preferred Stock will automatically convert on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. The shares have no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series D Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | Not disclosed |
Reported balance
Holding disclosure · report date 2020-07-23 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F4: The shares of Series D Preferred Stock will automatically convert on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. The shares have no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Series B Preferred Stock will automatically convert on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. The shares have no expiration date.
F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest.
F3: The shares of Series C Preferred Stock will automatically convert on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. The shares have no expiration date.
F4: The shares of Series D Preferred Stock will automatically convert on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. The shares have no expiration date.
Arcellx, Inc.
Report date December 20, 2022 · Filed December 22, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 4,745,262 |
Reported balance
After 2022-12-20 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2022-12-20 · Other · Disposed 2,000,000 · Balance 4,745,262 F1: New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution of 2,000,000 shares of Common Stock of the Issuer to its general partner and limited partners for no consideration on December 20, 2022. F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of NEA 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 0 |
Last balance in matching sequence
After 2022-12-20 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2022-12-20 · Other · Acquired 30,000 · Balance 30,000 F3: NEA Partners 15 received 30,000 shares of Common Stock of the Issuer in the distribution made by NEA 15 on December 20, 2022. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. Row 3 · 2022-12-20 · Other · Disposed 30,000 · Balance 0 F5: NEA Partners 15 made a pro rata distribution of 30,000 shares of Common Stock of the Issuer to its limited partners for no consideration on December 20, 2022. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | Direct | 283 |
Reported balance
After 2022-12-20 transaction · row 4
1 source rowRow 4 · 2022-12-20 · Other · Acquired 283 · Balance 283 F6: The Reporting Person received 283 shares of Common Stock of the Issuer in a distribution made by NEA Partners 15 on December 20, 2022. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 8 | 0 |
Last balance in matching sequence
After 2022-12-21 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 5 · 2022-12-20 · Other · Acquired 179 · Balance 179 F7: New Enterprise Associates, LLC ("NEA LLC") received 179 shares of Common Stock of the Issuer in a distribution by NEA 15 on December 20, 2022. F8: The Reporting Person is a member of the Board of Directors of NEA LLC, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA LLC in which the Reporting Person has no pecuniary interest. Row 6 · 2022-12-21 · Sale · Disposed 179 · Balance 0 F9: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $30.73 to $30.75 per share, inclusive. The Reporting Persons 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. F8: The Reporting Person is a member of the Board of Directors of NEA LLC, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA LLC in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution of 2,000,000 shares of Common Stock of the Issuer to its general partner and limited partners for no consideration on December 20, 2022.
F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of NEA 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest.
F3: NEA Partners 15 received 30,000 shares of Common Stock of the Issuer in the distribution made by NEA 15 on December 20, 2022.
F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest.
F5: NEA Partners 15 made a pro rata distribution of 30,000 shares of Common Stock of the Issuer to its limited partners for no consideration on December 20, 2022.
F6: The Reporting Person received 283 shares of Common Stock of the Issuer in a distribution made by NEA Partners 15 on December 20, 2022.
F7: New Enterprise Associates, LLC ("NEA LLC") received 179 shares of Common Stock of the Issuer in a distribution by NEA 15 on December 20, 2022.
F8: The Reporting Person is a member of the Board of Directors of NEA LLC, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA LLC in which the Reporting Person has no pecuniary interest.
F9: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $30.73 to $30.75 per share, inclusive. The Reporting Persons 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.
Black Diamond Therapeutics, Inc.
Report date January 29, 2020 · Filed January 30, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-01-29 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: Each share of Series B Preferred Stock is convertible into shares of the Issuer's Common Stock on a one-for-3.01581 basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Preferred Stock will convert into the number of shares of Common Stock of the Issuer shown in column 3. The Series B Preferred Stock has no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-01-29 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F3: Each share of Series C Preferred Stock is convertible into shares of the Issuer's Common Stock on a one-for-3.01581 basis. Upon the closing of the Issuer's initial public offering, all shares of Series C Preferred Stock will convert into the number of shares of Common Stock of the Issuer shown in column 3. The Series C Preferred Stock has no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series B Preferred Stock is convertible into shares of the Issuer's Common Stock on a one-for-3.01581 basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Preferred Stock will convert into the number of shares of Common Stock of the Issuer shown in column 3. The Series B Preferred Stock has no expiration date.
F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
F3: Each share of Series C Preferred Stock is convertible into shares of the Issuer's Common Stock on a one-for-3.01581 basis. Upon the closing of the Issuer's initial public offering, all shares of Series C Preferred Stock will convert into the number of shares of Common Stock of the Issuer shown in column 3. The Series C Preferred Stock has no expiration date.
Eargo, Inc.
Report date May 24, 2021 · Filed May 26, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 4,520,019 |
Reported balance
After 2021-05-24 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-05-24 · Other · Disposed 2,000,000 · Balance 4,520,019 F1: New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution for no consideration of an aggregate of 2,000,000 shares of Common Stock of the Issuer to its general partner and its limited partners on May 24, 2021. F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of NEA 15, which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 0 |
Last balance in matching sequence
After 2021-05-24 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2021-05-24 · Other · Acquired 30,000 · Balance 30,000 F3: NEA Partners 15 received 30,000 shares of Common Stock of the Issuer in the distribution by NEA 15 on May 24, 2021. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA Partners 15 shares in which the Reporting Person has no pecuniary interest. Row 3 · 2021-05-24 · Other · Disposed 30,000 · Balance 0 F5: NEA Partners 15 made a pro rata distribution for no consideration of an aggregate of 30,000 shares of Common Stock of the Issuer to its limited partners on May 24, 2021. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA Partners 15 shares in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2021-05-25 transaction · row 5
2 source rows · reconciled sequenceRow 4 · 2021-05-24 · Other · Acquired 283 · Balance 283 F6: The Reporting Person received 283 shares of Common Stock of the Issuer in the distribution by NEA Partners 15 on May 24, 2021. Row 5 · 2021-05-25 · Sale · Disposed 283 · Balance 0 |
Filing footnotes · ownership attribution and instrument terms
F1: New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution for no consideration of an aggregate of 2,000,000 shares of Common Stock of the Issuer to its general partner and its limited partners on May 24, 2021.
F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of NEA 15, which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Reporting Person has no pecuniary interest.
F3: NEA Partners 15 received 30,000 shares of Common Stock of the Issuer in the distribution by NEA 15 on May 24, 2021.
F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA Partners 15 shares in which the Reporting Person has no pecuniary interest.
F5: NEA Partners 15 made a pro rata distribution for no consideration of an aggregate of 30,000 shares of Common Stock of the Issuer to its limited partners on May 24, 2021.
F6: The Reporting Person received 283 shares of Common Stock of the Issuer in the distribution by NEA Partners 15 on May 24, 2021.
Inozyme Pharma, Inc.
Report date July 28, 2020 · Filed July 28, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 2,437,689 |
Last balance in matching sequence
After 2020-07-28 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2020-07-28 · Conversion · Acquired 2,000,533 · Balance 2,000,533 F1: On July 28, 2020, the Series A Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 2 · 2020-07-28 · Conversion · Acquired 187,156 · Balance 2,187,689 F3: On July 28, 2020, the Series A-2 Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 3 · 2020-07-28 · Purchase · Acquired 250,000 · Balance 2,437,689 F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2020-07-25 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-07-25 · Conversion · Disposed 2,000,533 · Balance 0 F1: On July 28, 2020, the Series A Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series A-2 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2020-07-25 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-07-25 · Conversion · Disposed 187,156 · Balance 0 F3: On July 28, 2020, the Series A-2 Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: On July 28, 2020, the Series A Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest.
F3: On July 28, 2020, the Series A-2 Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
MBX Biosciences, Inc.
Report date September 16, 2024 · Filed September 18, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 3,614,486 |
Last balance in matching sequence
After 2024-09-16 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2024-09-16 · Conversion · Acquired 1,023,103 · Balance 1,023,103 F1: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock on a one-for-12.0221 basis at any time at the option of the holder, and automatically converted into the number of shares shown in Column 7 immediately prior to the closing of the Issuer's initial public offering on September 16, 2024. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 2 · 2024-09-16 · Conversion · Acquired 2,091,383 · Balance 3,114,486 F1: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock on a one-for-12.0221 basis at any time at the option of the holder, and automatically converted into the number of shares shown in Column 7 immediately prior to the closing of the Issuer's initial public offering on September 16, 2024. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 3 · 2024-09-16 · Purchase · Acquired 500,000 · Balance 3,614,486 F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2024-09-16 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-09-16 · Conversion · Disposed 12,299,854 · Balance 0 F1: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock on a one-for-12.0221 basis at any time at the option of the holder, and automatically converted into the number of shares shown in Column 7 immediately prior to the closing of the Issuer's initial public offering on September 16, 2024. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2024-09-16 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2024-09-16 · Conversion · Disposed 25,142,840 · Balance 0 F1: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock on a one-for-12.0221 basis at any time at the option of the holder, and automatically converted into the number of shares shown in Column 7 immediately prior to the closing of the Issuer's initial public offering on September 16, 2024. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock on a one-for-12.0221 basis at any time at the option of the holder, and automatically converted into the number of shares shown in Column 7 immediately prior to the closing of the Issuer's initial public offering on September 16, 2024. The Preferred Stock had no expiration date.
F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest.
Marker Therapeutics, Inc.
Report date December 23, 2024 · Filed December 23, 2024
Jointly reported with New Enterprise Associates 16, L.P., NEA Partners 16, L.P., NEA 16 GP, LLC, BASKETT FOREST, Chang Carmen, Behbahani Ali, Florence Anthony A. Jr., SANDELL SCOTT D, Walker Paul Edward
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,625,678 |
Reported balance
After 2024-12-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-12-23 · Purchase · Acquired 554,250 · Balance 1,625,678 F1: Acquired from the Issuer on December 23, 2024 pursuant to a Securities Purchase Agreement dated December 19, 2024. F2: On January 26, 2023, the Issuer effected a 1-for-10 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. F3: The securities are directly held by New Enterprise Associates 16, L.P. ("NEA 16"), and indirectly held by NEA Partners 16, L.P. ("NEA Partners 16"), the sole general partner of NEA 16, NEA 16 GP, LLC ("NEA 16 GP"), the sole general partner of NEA Partners 16, and the individual managers of NEA 16 GP (NEA Partners 16, NEA 16 GP and the individual managers of NEA 16 GP, together, the "Indirect Reporting Persons").The individual managers of NEA 16 GP are Forest Baskett, Ali Behbahani, Carmen Chang, Anthony A. Florence, Jr., Mohamad Makhzoumi, Scott D. Sandell, and Paul Walker. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 16 in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Acquired from the Issuer on December 23, 2024 pursuant to a Securities Purchase Agreement dated December 19, 2024.
F2: On January 26, 2023, the Issuer effected a 1-for-10 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.
F3: The securities are directly held by New Enterprise Associates 16, L.P. ("NEA 16"), and indirectly held by NEA Partners 16, L.P. ("NEA Partners 16"), the sole general partner of NEA 16, NEA 16 GP, LLC ("NEA 16 GP"), the sole general partner of NEA Partners 16, and the individual managers of NEA 16 GP (NEA Partners 16, NEA 16 GP and the individual managers of NEA 16 GP, together, the "Indirect Reporting Persons").The individual managers of NEA 16 GP are Forest Baskett, Ali Behbahani, Carmen Chang, Anthony A. Florence, Jr., Mohamad Makhzoumi, Scott D. Sandell, and Paul Walker. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 16 in which the Indirect Reporting Persons have no pecuniary interest.
Monte Rosa Therapeutics, Inc.
Report date June 28, 2021 · Filed June 30, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 7,692,298 |
Last balance in matching sequence
After 2021-06-28 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2021-06-28 · Conversion · Acquired 2,715,968 · Balance 2,715,968 F1: Each share of Series A-2 convertible preferred stock, Series B convertible preferred stock and Series C convertible preferred stock (collectively, the "Preferred Stock") was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.5305 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 2 · 2021-06-28 · Conversion · Acquired 3,257,328 · Balance 5,973,296 F1: Each share of Series A-2 convertible preferred stock, Series B convertible preferred stock and Series C convertible preferred stock (collectively, the "Preferred Stock") was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.5305 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 3 · 2021-06-28 · Conversion · Acquired 669,002 · Balance 6,642,298 F1: Each share of Series A-2 convertible preferred stock, Series B convertible preferred stock and Series C convertible preferred stock (collectively, the "Preferred Stock") was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.5305 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 4 · 2021-06-28 · Purchase · Acquired 1,050,000 · Balance 7,692,298 F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series A-2 convertible preferred stockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2021-06-28 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-06-28 · Conversion · Disposed 9,588,725 · Balance 0 F1: Each share of Series A-2 convertible preferred stock, Series B convertible preferred stock and Series C convertible preferred stock (collectively, the "Preferred Stock") was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.5305 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series B convertible preferred stockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2021-06-28 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-06-28 · Conversion · Disposed 11,500,000 · Balance 0 F1: Each share of Series A-2 convertible preferred stock, Series B convertible preferred stock and Series C convertible preferred stock (collectively, the "Preferred Stock") was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.5305 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series C convertible preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2021-06-28 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-06-28 · Conversion · Disposed 2,361,912 · Balance 0 F1: Each share of Series A-2 convertible preferred stock, Series B convertible preferred stock and Series C convertible preferred stock (collectively, the "Preferred Stock") was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.5305 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A-2 convertible preferred stock, Series B convertible preferred stock and Series C convertible preferred stock (collectively, the "Preferred Stock") was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.5305 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date.
F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest.
Nkarta, Inc.
Report date July 14, 2020 · Filed July 16, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 2,902,115 |
Last balance in matching sequence
After 2020-07-14 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2020-07-14 · Conversion · Acquired 522,639 · Balance 522,639 F1: On July 14, 2020, the Series A Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 2 · 2020-07-14 · Conversion · Acquired 1,712,810 · Balance 2,235,449 F3: On July 14, 2020, the Series B Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 3 · 2020-07-14 · Purchase · Acquired 666,666 · Balance 2,902,115 F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2020-07-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-07-14 · Conversion · Disposed 522,639 · Balance 0 F1: On July 14, 2020, the Series A Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2020-07-14 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-07-14 · Conversion · Disposed 1,712,810 · Balance 0 F3: On July 14, 2020, the Series B Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: On July 14, 2020, the Series A Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest.
F3: On July 14, 2020, the Series B Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
OnKure Therapeutics, Inc.
Report date April 13, 2021 · Filed April 15, 2021
Jointly reported with New Enterprise Associates 15, L.P., NEA Partners 15, L.P., NEA 15 GP, LLC, BASKETT FOREST, Florence Anthony A. Jr., MAKOWER JOSHUA, SANDELL SCOTT D, Sonsini Peter W.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,785,494 |
Last balance in matching sequence
After 2021-04-13 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2021-04-13 · Conversion · Acquired 2,128,956 · Balance 2,128,956 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering, for no additional consideration at a rate of 1 share of Common Stock for each 4.4748 shares of Preferred Stock. The Preferred Stock had no expiration date. F2: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. Row 2 · 2021-04-13 · Conversion · Acquired 1,989,872 · Balance 4,118,828 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering, for no additional consideration at a rate of 1 share of Common Stock for each 4.4748 shares of Preferred Stock. The Preferred Stock had no expiration date. F2: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. Row 3 · 2021-04-13 · Purchase · Acquired 666,666 · Balance 4,785,494 F3: The shares were purchased in the Issuer's initial public offering. F2: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-04-13 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-04-13 · Conversion · Disposed 9,526,652 · Balance 0 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering, for no additional consideration at a rate of 1 share of Common Stock for each 4.4748 shares of Preferred Stock. The Preferred Stock had no expiration date. F2: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-04-13 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-04-13 · Conversion · Disposed 8,904,280 · Balance 0 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering, for no additional consideration at a rate of 1 share of Common Stock for each 4.4748 shares of Preferred Stock. The Preferred Stock had no expiration date. F2: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering, for no additional consideration at a rate of 1 share of Common Stock for each 4.4748 shares of Preferred Stock. The Preferred Stock had no expiration date.
F2: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest.
F3: The shares were purchased in the Issuer's initial public offering.
Robinhood Markets, Inc.
Report date May 02, 2022 · Filed May 04, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 21,794,172 |
Reported balance
After 2022-05-02 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2022-05-02 · Other · Disposed 21,794,173 · Balance 21,794,172 F1: New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution for no consideration of an aggregate of 21,794,173 shares of Class A Common Stock of the Issuer to its general partner and limited partners on May 2, 2022. F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of NEA 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 0 |
Last balance in matching sequence
After 2022-05-02 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2022-05-02 · Other · Acquired 326,913 · Balance 326,913 F3: NEA Partners 15 received 326,913 shares of Class A Common Stock of the Issuer in the distribution by NEA 15 on May 2, 2022. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. Row 3 · 2022-05-02 · Other · Disposed 326,913 · Balance 0 F5: NEA Partners 15 made a pro rata distribution for no consideration of an aggregate of 326,913 shares of Class A Common Stock of the Issuer to its limited partners on May 2, 2022. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 7 | 2,028,736 |
Reported balance
After 2022-05-02 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2022-05-02 · Other · Disposed 2,028,736 · Balance 2,028,736 F6: New Enterprise Associates 17, L.P. ("NEA 17") made a pro rata distribution for no consideration of an aggregate of 2,028,736 shares of Class A Common Stock of the Issuer to its general partner and limited partners on May 2, 2022. F7: The Reporting Person is a manager of NEA 17 GP, LLC ("NEA 17 GP"), which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of NEA 17, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 9 | 0 |
Last balance in matching sequence
After 2022-05-02 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 5 · 2022-05-02 · Other · Acquired 30,431 · Balance 30,431 F8: NEA Partners 17 received 30,431 shares of Class A Common Stock of the Issuer in the distribution by NEA 17 on May 2, 2022. F9: The Reporting Person is a manager of NEA 17 GP, which is the sole general partner of NEA Partners 17, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 17 in which the Reporting Person has no pecuniary interest. Row 6 · 2022-05-02 · Other · Disposed 30,431 · Balance 0 F10: NEA Partners 17 made a distribution for no consideration of an aggregate of 30,431 shares of Class A Common Stock of the Issuer to a limited partner on May 2, 2022. F9: The Reporting Person is a manager of NEA 17 GP, which is the sole general partner of NEA Partners 17, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 17 in which the Reporting Person has no pecuniary interest. |
| Class A Common StockSEC Table I · non-derivative | Direct | 6,371 |
Reported balance
After 2022-05-02 transaction · row 7
1 source rowRow 7 · 2022-05-02 · Other · Acquired 3,083 · Balance 6,371 F11: The Reporting Person received 3,083 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 15 on May 2, 2022. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 13 | 0 |
Last balance in matching sequence
After 2022-05-03 transaction · row 9
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 8 · 2022-05-02 · Other · Acquired 1,952 · Balance 1,952 F12: NEA Holdings CF, LLC ("NEA Holdings CF"), the managing member of NEA Investment TC, LLC ("NEA Investment TC"), received 1,952 shares of Class A Common Stock of the Issuer in a distribution by NEA Investments TC on May 2, 2022. NEA Investment TC received the shares in a distribution from its wholly owned subsidiary, New Enterprise Associates, LLC, which shares were received in the distribution by NEA 15 on May 2, 2022. F13: The Reporting Person is a member of the Board of Directors of NEA Holdings CF, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Holdings CF in which the Reporting Person has no pecuniary interest. Row 9 · 2022-05-03 · Sale · Disposed 1,952 · Balance 0 F14: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.03 to $10.075, 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 (14) to this Form 4. F13: The Reporting Person is a member of the Board of Directors of NEA Holdings CF, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Holdings CF in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution for no consideration of an aggregate of 21,794,173 shares of Class A Common Stock of the Issuer to its general partner and limited partners on May 2, 2022.
F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of NEA 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest.
F3: NEA Partners 15 received 326,913 shares of Class A Common Stock of the Issuer in the distribution by NEA 15 on May 2, 2022.
F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest.
F5: NEA Partners 15 made a pro rata distribution for no consideration of an aggregate of 326,913 shares of Class A Common Stock of the Issuer to its limited partners on May 2, 2022.
F6: New Enterprise Associates 17, L.P. ("NEA 17") made a pro rata distribution for no consideration of an aggregate of 2,028,736 shares of Class A Common Stock of the Issuer to its general partner and limited partners on May 2, 2022.
F7: The Reporting Person is a manager of NEA 17 GP, LLC ("NEA 17 GP"), which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of NEA 17, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest.
F8: NEA Partners 17 received 30,431 shares of Class A Common Stock of the Issuer in the distribution by NEA 17 on May 2, 2022.
F9: The Reporting Person is a manager of NEA 17 GP, which is the sole general partner of NEA Partners 17, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 17 in which the Reporting Person has no pecuniary interest.
F10: NEA Partners 17 made a distribution for no consideration of an aggregate of 30,431 shares of Class A Common Stock of the Issuer to a limited partner on May 2, 2022.
F11: The Reporting Person received 3,083 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 15 on May 2, 2022.
F12: NEA Holdings CF, LLC ("NEA Holdings CF"), the managing member of NEA Investment TC, LLC ("NEA Investment TC"), received 1,952 shares of Class A Common Stock of the Issuer in a distribution by NEA Investments TC on May 2, 2022. NEA Investment TC received the shares in a distribution from its wholly owned subsidiary, New Enterprise Associates, LLC, which shares were received in the distribution by NEA 15 on May 2, 2022.
F13: The Reporting Person is a member of the Board of Directors of NEA Holdings CF, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Holdings CF in which the Reporting Person has no pecuniary interest.
F14: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.03 to $10.075, 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 (14) to this Form 4.
SYNLOGIC, INC.
Report date July 27, 2026 · Filed August 14, 2026
Jointly reported with New Enterprise Associates 14, L.P., NEA Partners 14, L.P., NEA 14 GP, LTD, Florence Anthony A. Jr., SANDELL SCOTT D
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Warrants (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.41 · Expires 2028-10-03 | Direct | 0 |
Reported balance
After 2026-07-27 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-07-27 · Other · Disposed 2,640,845 · Balance 0 F2: The two transactions reported in Table II above involved the amendment of an outstanding warrant to reduce the exercise price from $3.408 a share to $0.70 a share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one. F1: The warrants were immediately exercisable; provided, however, that the warrants carry a limitation on exercise preventing exercise if such exercise results in New Enterprise Associates 14, L.P. ("NEA 14") beneficially owning in excess of 4.99% (or, at the election of NEA 14, 9.99%) of the number of shares of the Issuer's Common Stock, which percentage can be increased or decreased at the option of NEA 14 upon 61 days' prior notice. F3: The securities are directly held by NEA 14 and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14, and the members of the Executive Committee (the "Executive Committee") of NEA Management Company, LLC (NEA Partners 14, NEA 14 LTD and the members of the Executive Committee together, the "Indirect Reporting Persons"). The members of the Executive Committee are Anthony A. Florence, Jr., Mohamad H. Makhzoumi, and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 14 in which the Indirect Reporting Persons have no pecuniary interest. |
| Warrants (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.70 · Expires 2028-10-03 | Direct | 2,640,845 |
Reported balance
After 2026-07-27 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-07-27 · Purchase · Acquired 2,640,845 · Balance 2,640,845 F2: The two transactions reported in Table II above involved the amendment of an outstanding warrant to reduce the exercise price from $3.408 a share to $0.70 a share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one. F1: The warrants were immediately exercisable; provided, however, that the warrants carry a limitation on exercise preventing exercise if such exercise results in New Enterprise Associates 14, L.P. ("NEA 14") beneficially owning in excess of 4.99% (or, at the election of NEA 14, 9.99%) of the number of shares of the Issuer's Common Stock, which percentage can be increased or decreased at the option of NEA 14 upon 61 days' prior notice. F3: The securities are directly held by NEA 14 and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14, and the members of the Executive Committee (the "Executive Committee") of NEA Management Company, LLC (NEA Partners 14, NEA 14 LTD and the members of the Executive Committee together, the "Indirect Reporting Persons"). The members of the Executive Committee are Anthony A. Florence, Jr., Mohamad H. Makhzoumi, and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 14 in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The warrants were immediately exercisable; provided, however, that the warrants carry a limitation on exercise preventing exercise if such exercise results in New Enterprise Associates 14, L.P. ("NEA 14") beneficially owning in excess of 4.99% (or, at the election of NEA 14, 9.99%) of the number of shares of the Issuer's Common Stock, which percentage can be increased or decreased at the option of NEA 14 upon 61 days' prior notice.
F2: The two transactions reported in Table II above involved the amendment of an outstanding warrant to reduce the exercise price from $3.408 a share to $0.70 a share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one.
F3: The securities are directly held by NEA 14 and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14, and the members of the Executive Committee (the "Executive Committee") of NEA Management Company, LLC (NEA Partners 14, NEA 14 LTD and the members of the Executive Committee together, the "Indirect Reporting Persons"). The members of the Executive Committee are Anthony A. Florence, Jr., Mohamad H. Makhzoumi, and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 14 in which the Indirect Reporting Persons have no pecuniary interest.
Savara Inc
Report date July 17, 2023 · Filed July 19, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 24,471,264 |
Reported balance
After 2023-07-17 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2023-07-17 · Purchase · Acquired 333,333 · Balance 24,471,264 F1: Reports the purchase of shares in the underwritten public offering of common stock of the Issuer. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"). NEA 17 is the sole member of Growth Equity Opportunities 17, LLC ("GEO 17"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO 17 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Reports the purchase of shares in the underwritten public offering of common stock of the Issuer.
F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"). NEA 17 is the sole member of Growth Equity Opportunities 17, LLC ("GEO 17"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO 17 in which the Reporting Person has no pecuniary interest.
Senti Biosciences Holdings, Inc.
Report date March 10, 2025 · Filed March 13, 2025
Jointly reported with New Enterprise Associates 15, L.P., NEA Partners 15, L.P., NEA 15 GP, LLC, BASKETT FOREST, Florence Anthony A. Jr., SANDELL SCOTT D
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,775,615 |
Reported balance
After 2025-03-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-03-10 · Conversion · Acquired 3,333,000 · Balance 3,775,615 F1: Each share of Series A Convertible Preferred Stock (the "Series A Preferred Stock") was convertible into 1,000 shares of Common Stock either (i) automatically, at the Issuer's option or (ii) upon the election of the holder. On March 10, 2025, the Issuer exercised its right to automatically convert each share of Series A Preferred Stock, resulting in the acquisition of 3,333,000 shares of Common Stock. The Series A Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 15, L.P. ("NEA 15") and are indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP (collectively, the "Managers") together, the "Indirect Reporting Persons"). The Mangers are Forest Baskett, Anthony Florence, Jr., Mohamad Makhzoumi, and Scott Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Indirect Reporting Persons have no pecuniary interest. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2025-03-10 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-03-10 · Conversion · Disposed 3,333 · Balance 0 F1: Each share of Series A Convertible Preferred Stock (the "Series A Preferred Stock") was convertible into 1,000 shares of Common Stock either (i) automatically, at the Issuer's option or (ii) upon the election of the holder. On March 10, 2025, the Issuer exercised its right to automatically convert each share of Series A Preferred Stock, resulting in the acquisition of 3,333,000 shares of Common Stock. The Series A Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 15, L.P. ("NEA 15") and are indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP (collectively, the "Managers") together, the "Indirect Reporting Persons"). The Mangers are Forest Baskett, Anthony Florence, Jr., Mohamad Makhzoumi, and Scott Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A Convertible Preferred Stock (the "Series A Preferred Stock") was convertible into 1,000 shares of Common Stock either (i) automatically, at the Issuer's option or (ii) upon the election of the holder. On March 10, 2025, the Issuer exercised its right to automatically convert each share of Series A Preferred Stock, resulting in the acquisition of 3,333,000 shares of Common Stock. The Series A Preferred Stock had no expiration date.
F2: The securities are directly held by New Enterprise Associates 15, L.P. ("NEA 15") and are indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP (collectively, the "Managers") together, the "Indirect Reporting Persons"). The Mangers are Forest Baskett, Anthony Florence, Jr., Mohamad Makhzoumi, and Scott Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Indirect Reporting Persons have no pecuniary interest.
SpyGlass Pharma, Inc.
Report date February 09, 2026 · Filed February 11, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 6,035,038 |
Last balance in matching sequence
After 2026-02-09 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 1 · 2026-02-09 · Conversion · Acquired 1,619,240 · Balance 1,619,240 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 2 · 2026-02-09 · Conversion · Acquired 1,370,168 · Balance 2,989,408 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 3 · 2026-02-09 · Conversion · Acquired 1,370,168 · Balance 4,359,576 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 4 · 2026-02-09 · Conversion · Acquired 737,962 · Balance 5,097,538 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 5 · 2026-02-09 · Purchase · Acquired 937,500 · Balance 6,035,038 F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 3 | 1,357,263 |
Last balance in matching sequence
After 2026-02-09 transaction · row 7
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 6 · 2026-02-09 · Conversion · Acquired 954,990 · Balance 954,990 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F3: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Exchange Act or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 7 · 2026-02-09 · Conversion · Acquired 402,273 · Balance 1,357,263 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F3: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Exchange Act or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2026-02-09 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2026-02-09 · Conversion · Disposed 1,619,240 · Balance 0 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2026-02-09 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2026-02-09 · Conversion · Disposed 1,370,168 · Balance 0 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series C-2 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2026-02-09 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2026-02-09 · Conversion · Disposed 1,370,168 · Balance 0 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series D Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2026-02-09 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2026-02-09 · Conversion · Disposed 737,962 · Balance 0 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 3 | 0 |
Reported balance
After 2026-02-09 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2026-02-09 · Conversion · Disposed 954,990 · Balance 0 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F3: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Exchange Act or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 3 | 0 |
Reported balance
After 2026-02-09 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2026-02-09 · Conversion · Disposed 402,273 · Balance 0 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F3: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Exchange Act or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026.
F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest.
F3: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Exchange Act or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest.
Tempest Therapeutics, Inc.
Report date December 07, 2018 · Filed December 12, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 1,766,407 |
Reported balance
Holding disclosure · report date 2018-12-07 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,766,407 F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest.
Trevi Therapeutics, Inc.
Report date December 31, 2025 · Filed February 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 12,273,280 |
Reported balance
After 2025-04-17 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2025-04-17 · Other · Acquired 1,851,852 · Balance 12,273,280 F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. |
| 3.5-Year Common Stock WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $1.37 · Expires 2025-04-18 | IndirectSee Note 1 | 0 |
Reported balance
After 2025-04-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-04-17 · Other · Disposed 1,851,852 · Balance 0 F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 948,948 |
Reported balance
Holding disclosure · report date 2025-12-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 948,948 F2: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest.
F2: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest.
Verona Pharma plc
Report date January 01, 2021 · Filed January 05, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Note 2 | 9,757,393 |
Reported balance
Holding disclosure · report date 2021-01-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 9,757,393 F1: Consists of 1 Ordinary Share and 1,219,674 American Depository Shares ("ADSs") held by Growth Equity Opportunities Fund IV, LLC ("GEO IV"). Each ADS represents eight (8) Ordinary Shares of the Issuer. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"). NEA 15 is the sole member of GEO IV, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO IV in which the Reporting Person has no pecuniary interest. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Note 4 | 31,111,112 |
Reported balance
Holding disclosure · report date 2021-01-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 31,111,112 F3: Consists of 3,888,889 ADSs held by Growth Equity Opportunities 17, LLC ("GEO 17"). Each ADS represents eight (8) Ordinary Shares of the Issuer. F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"). NEA 17 is the sole member of GEO 17, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO 17 in which the Reporting Person has no pecuniary interest. |
| Ordinary Shares Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.33 · Expires 2022-05-02 | IndirectSee Note 2 | Not disclosed |
Reported balance
Holding disclosure · report date 2021-01-01 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F5: The exercise price of the warrants is GBP 1.7238 per ordinary share. The amount in Column 4 is converted to USD using the exchange rate as of December 23, 2020 as reported by the H.10 statistical release of the Board of Governors of the Federal Reserve System. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"). NEA 15 is the sole member of GEO IV, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO IV in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of 1 Ordinary Share and 1,219,674 American Depository Shares ("ADSs") held by Growth Equity Opportunities Fund IV, LLC ("GEO IV"). Each ADS represents eight (8) Ordinary Shares of the Issuer.
F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"). NEA 15 is the sole member of GEO IV, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO IV in which the Reporting Person has no pecuniary interest.
F3: Consists of 3,888,889 ADSs held by Growth Equity Opportunities 17, LLC ("GEO 17"). Each ADS represents eight (8) Ordinary Shares of the Issuer.
F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"). NEA 17 is the sole member of GEO 17, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO 17 in which the Reporting Person has no pecuniary interest.
F5: The exercise price of the warrants is GBP 1.7238 per ordinary share. The amount in Column 4 is converted to USD using the exchange rate as of December 23, 2020 as reported by the H.10 statistical release of the Board of Governors of the Federal Reserve System.
X4 Pharmaceuticals, Inc
Report date November 20, 2017 · Filed November 20, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 2,000,000 |
Reported balance
Holding disclosure · report date 2017-11-20 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,000,000 F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
Past disclosures · reporting ended (12)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
AVEO PHARMACEUTICALS, INC.
Report date October 19, 2022 · Filed October 21, 2022
Section 16 reporting ended · disclosed 2022-10-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 0 |
Reported balance
After 2022-10-19 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2022-10-19 · Other · Disposed 3,952,957 · Balance 0 F1: Growth Equity Opportunities Fund IV, LLC ("GEO IV") made a distribution of 3,952,957 shares of Common Stock of the Issuer to its sole member for no consideration on October 19, 2022. F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of GEO IV, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO IV in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 0 |
Last balance in matching sequence
After 2022-10-19 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2022-10-19 · Other · Acquired 3,952,957 · Balance 3,952,957 F3: NEA 15 received 3,952,957 shares of Common Stock of the Issuer in the distribution made by GEO IV on October 19, 2022. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15. NEA Partners 15 is the sole general partner of NEA 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 3 · 2022-10-19 · Other · Disposed 3,952,957 · Balance 0 F5: NEA 15 made a pro rata distribution of 3,952,957 shares of Common Stock of the Issuer for no consideration to its general partner and limited partners on October 19, 2022. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15. NEA Partners 15 is the sole general partner of NEA 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 7 | 0 |
Last balance in matching sequence
After 2022-10-19 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 4 · 2022-10-19 · Other · Acquired 59,294 · Balance 59,294 F6: NEA Partners 15 received 59,294 shares of Common Stock of the Issuer in the distribution made by NEA 15 on October 19, 2022. F7: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. Row 5 · 2022-10-19 · Other · Disposed 59,294 · Balance 0 F8: NEA Partners 15 made a pro rata distribution for no consideration of an aggregate of 59,294 shares of Common Stock of the Issuer to its limited partners on October 19, 2022. F7: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 10 | 354 |
Reported balance
After 2022-10-19 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 6 · 2022-10-19 · Other · Acquired 354 · Balance 354 F9: NEA Investment Holdings CF, LLC ("NEA Holdings CF"), the managing member of NEA Investments TC, LLC ("NEA Investments TC"), received 354 shares of Common Stock of the Issuer in a distribution by NEA Investments TC on October 19, 2022. NEA Investments TC received the shares in a distribution from its wholly owned subsidiary, New Enterprise Associates, LLC, which shares were received in the distribution by NEA 15 on October 19, 2022. F10: The Reporting Person is a member of the Board of Directors of NEA Holdings CF, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Holdings CF in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | Direct | 559 |
Reported balance
After 2022-10-19 transaction · row 7
1 source rowRow 7 · 2022-10-19 · Other · Acquired 559 · Balance 559 F11: The Reporting Person received 559 shares of Common Stock of the Issuer in the distribution by NEA Partners 15 on October 19, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: Growth Equity Opportunities Fund IV, LLC ("GEO IV") made a distribution of 3,952,957 shares of Common Stock of the Issuer to its sole member for no consideration on October 19, 2022.
F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of GEO IV, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO IV in which the Reporting Person has no pecuniary interest.
F3: NEA 15 received 3,952,957 shares of Common Stock of the Issuer in the distribution made by GEO IV on October 19, 2022.
F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15. NEA Partners 15 is the sole general partner of NEA 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest.
F5: NEA 15 made a pro rata distribution of 3,952,957 shares of Common Stock of the Issuer for no consideration to its general partner and limited partners on October 19, 2022.
F6: NEA Partners 15 received 59,294 shares of Common Stock of the Issuer in the distribution made by NEA 15 on October 19, 2022.
F7: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest.
F8: NEA Partners 15 made a pro rata distribution for no consideration of an aggregate of 59,294 shares of Common Stock of the Issuer to its limited partners on October 19, 2022.
F9: NEA Investment Holdings CF, LLC ("NEA Holdings CF"), the managing member of NEA Investments TC, LLC ("NEA Investments TC"), received 354 shares of Common Stock of the Issuer in a distribution by NEA Investments TC on October 19, 2022. NEA Investments TC received the shares in a distribution from its wholly owned subsidiary, New Enterprise Associates, LLC, which shares were received in the distribution by NEA 15 on October 19, 2022.
F10: The Reporting Person is a member of the Board of Directors of NEA Holdings CF, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Holdings CF in which the Reporting Person has no pecuniary interest.
F11: The Reporting Person received 559 shares of Common Stock of the Issuer in the distribution by NEA Partners 15 on October 19, 2022.
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 Note 3 | 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 4,294,207 · 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 and less any applicable tax withholding, plus (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, [Continued on Note 2] F2: [Continuation of Note 1] 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: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. |
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 and less any applicable tax withholding, plus (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, [Continued on Note 2]
F2: [Continuation of Note 1] 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: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest.
Berkshire Grey, Inc.
Report date July 20, 2023 · Filed July 24, 2023
Jointly reported with New Enterprise Associates 15, L.P., NEA 15 GP, LLC, NEA Partners 15, L.P., BASKETT FOREST, Florence Anthony A. Jr., SANDELL SCOTT D
Section 16 reporting ended · disclosed 2023-07-24. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-07-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-07-20 · Disposition to issuer · Disposed 38,183,023 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of March 24, 2023 (the "Merger Agreement"), by and among the Issuer, SoftBank Group Corp., a Japanese kabushiki kaisha ("SoftBank"), and Backgammon Acquisition Corp., a Delaware corporation and a wholly owned subsidiary of SoftBank ("Merger Sub"), on July 20, 2023, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of SoftBank (the "Merger"). At the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer common stock was automatically converted into the right to receive cash in the amount of $1.40, without interest and less any applicable withholding taxes. F2: The securities are directly held by New Enterprise Associates 15, L.P. ("NEA 15") and are indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP (collectively, the "Managers"), together, the "Indirect Reporting Persons"). The Managers are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger, dated as of March 24, 2023 (the "Merger Agreement"), by and among the Issuer, SoftBank Group Corp., a Japanese kabushiki kaisha ("SoftBank"), and Backgammon Acquisition Corp., a Delaware corporation and a wholly owned subsidiary of SoftBank ("Merger Sub"), on July 20, 2023, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of SoftBank (the "Merger"). At the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer common stock was automatically converted into the right to receive cash in the amount of $1.40, without interest and less any applicable withholding taxes.
F2: The securities are directly held by New Enterprise Associates 15, L.P. ("NEA 15") and are indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP (collectively, the "Managers"), together, the "Indirect Reporting Persons"). The Managers are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Indirect Reporting Persons have no pecuniary interest.
Desktop Metal, Inc.
Report date June 08, 2021 · Filed June 10, 2021
Section 16 reporting ended · disclosed 2021-06-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 19,263,413 |
Reported balance
After 2021-06-08 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-06-08 · Other · Disposed 9,000,000 · Balance 19,263,413 F1: New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution for no consideration of an aggregate of 9,000,000 shares of Class A Common Stock of the Issuer to its general partner and its limited partners on June 8, 2021. F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of NEA 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 0 |
Last balance in matching sequence
After 2021-06-08 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2021-06-08 · Other · Acquired 135,000 · Balance 135,000 F3: NEA Partners 15 received 135,000 shares of Class A Common Stock of the Issuer in the distribution by NEA 15 on June 8, 2021. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. Row 3 · 2021-06-08 · Other · Disposed 135,000 · Balance 0 F5: NEA Partners 15 made a pro rata distribution for no consideration of an aggregate of 135,000 shares of Class A Common Stock of the Issuer to its limited partners on June 8, 2021. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 7 | 806 |
Reported balance
After 2021-06-08 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2021-06-08 · Other · Acquired 806 · Balance 806 F6: New Enterprise Associates, LLC ("NEA LLC") received 806 shares of Class A Common Stock of the Issuer in the distribution by NEA 15 on June 8, 2021. F7: The Reporting Person is a member of the Board of Directors of NEA LLC, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA LLC in which the Reporting Person has no pecuniary interest. |
| Class A Common StockSEC Table I · non-derivative | Direct | 1,273 |
Reported balance
After 2021-06-08 transaction · row 5
1 source rowRow 5 · 2021-06-08 · Other · Acquired 1,273 · Balance 1,273 F8: The Reporting Person received 1,273 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 15 on June 8, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution for no consideration of an aggregate of 9,000,000 shares of Class A Common Stock of the Issuer to its general partner and its limited partners on June 8, 2021.
F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of NEA 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest.
F3: NEA Partners 15 received 135,000 shares of Class A Common Stock of the Issuer in the distribution by NEA 15 on June 8, 2021.
F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest.
F5: NEA Partners 15 made a pro rata distribution for no consideration of an aggregate of 135,000 shares of Class A Common Stock of the Issuer to its limited partners on June 8, 2021.
F6: New Enterprise Associates, LLC ("NEA LLC") received 806 shares of Class A Common Stock of the Issuer in the distribution by NEA 15 on June 8, 2021.
F7: The Reporting Person is a member of the Board of Directors of NEA LLC, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA LLC in which the Reporting Person has no pecuniary interest.
F8: The Reporting Person received 1,273 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 15 on June 8, 2021.
GENOCEA BIOSCIENCES, INC.
Report date May 24, 2022 · Filed May 26, 2022
Section 16 reporting ended · disclosed 2022-05-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 0 |
Last balance in matching sequence
After 2022-05-25 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2022-05-24 · Sale · Disposed 5,931,843 · Balance 4,445,093 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.060 to $0.0746, 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 (1) to this Form 4. F2: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 2 · 2022-05-25 · Sale · Disposed 4,445,093 · Balance 0 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.0675 to $0.0980, 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 (3) to this Form 4. F2: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
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 $0.060 to $0.0746, 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 (1) to this Form 4.
F2: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.0675 to $0.0980, 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 (3) to this Form 4.
IonQ, Inc.
Report date November 16, 2022 · Filed November 18, 2022
Section 16 reporting ended · disclosed 2022-11-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 14,614,829 |
Reported balance
After 2022-11-16 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2022-11-16 · Other · Disposed 11,691,864 · Balance 14,614,829 F1: New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution of 11,691,864 shares of Common Stock of the Issuer to its general partner and limited partners for no consideration on November 16, 2022. F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of NEA 15 the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 0 |
Last balance in matching sequence
After 2022-11-16 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2022-11-16 · Other · Acquired 175,378 · Balance 175,378 F3: NEA Partners 15 received 175,378 shares of Common Stock of the Issuer in the distribution made by NEA 15 on November 16, 2022. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. Row 3 · 2022-11-16 · Other · Disposed 175,378 · Balance 0 F5: NEA Partners 15 made a pro rata distribution of 175,378 shares of Common Stock of the Issuer to its limited partners for no consideration on November 16, 2022. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 7 | 1,047 |
Reported balance
After 2022-11-16 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2022-11-16 · Other · Acquired 1,047 · Balance 1,047 F6: New Enterprise Associates, LLC ("NEA LLC") received 1,047 shares of Common Stock of the Issuer in a distribution by NEA 15 on November 16, 2022. F7: The Reporting Person is a member of the Board of Directors of NEA LLC, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA LLC in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | Direct | 1,654 |
Reported balance
After 2022-11-16 transaction · row 5
1 source rowRow 5 · 2022-11-16 · Other · Acquired 1,654 · Balance 1,654 F8: The Reporting Person received 1,654 shares of Common Stock of the Issuer in the distribution by NEA Partners 15 on November 16, 2022 |
Filing footnotes · ownership attribution and instrument terms
F1: New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution of 11,691,864 shares of Common Stock of the Issuer to its general partner and limited partners for no consideration on November 16, 2022.
F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of NEA 15 the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest.
F3: NEA Partners 15 received 175,378 shares of Common Stock of the Issuer in the distribution made by NEA 15 on November 16, 2022.
F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest.
F5: NEA Partners 15 made a pro rata distribution of 175,378 shares of Common Stock of the Issuer to its limited partners for no consideration on November 16, 2022.
F6: New Enterprise Associates, LLC ("NEA LLC") received 1,047 shares of Common Stock of the Issuer in a distribution by NEA 15 on November 16, 2022.
F7: The Reporting Person is a member of the Board of Directors of NEA LLC, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA LLC in which the Reporting Person has no pecuniary interest.
F8: The Reporting Person received 1,654 shares of Common Stock of the Issuer in the distribution by NEA Partners 15 on November 16, 2022
Korro Bio, Inc.
Report date March 10, 2026 · Filed March 13, 2026
Section 16 reporting ended · disclosed 2026-03-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 1,297,893 |
Reported balance
After 2026-03-10 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-03-10 · Purchase · Acquired 207,100 · Balance 1,297,893 F1: Acquired from the Issuer on March 10, 2026 pursuant to a Subscription Agreement dated March 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Pre-Funded WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee Note 2 | 242,945 |
Reported balance
After 2026-03-10 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-03-10 · Purchase · Acquired 242,945 · Balance 242,945 F1: Acquired from the Issuer on March 10, 2026 pursuant to a Subscription Agreement dated March 9, 2026. F3: The Pre-Funded Warrants are exercisable at any time after their issuance; provided, however, that the Pre-Funded Warrants may not be exercised to the extent such exercise would cause the number of shares of the Issuer's Common Stock owned by the holder (together with its affiliates and certain other related parties) to exceed 9.99% of the total number of shares of the Issuer's Common Stock immediately after giving effect to such exercise, which percentage may be increased or decreased at the option of the holder upon 61 days' prior notice to the Issuer, not to exceed 19.99%. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Acquired from the Issuer on March 10, 2026 pursuant to a Subscription Agreement dated March 9, 2026.
F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest.
F3: The Pre-Funded Warrants are exercisable at any time after their issuance; provided, however, that the Pre-Funded Warrants may not be exercised to the extent such exercise would cause the number of shares of the Issuer's Common Stock owned by the holder (together with its affiliates and certain other related parties) to exceed 9.99% of the total number of shares of the Issuer's Common Stock immediately after giving effect to such exercise, which percentage may be increased or decreased at the option of the holder upon 61 days' prior notice to the Issuer, not to exceed 19.99%.
Metacrine, Inc.
Report date December 10, 2021 · Filed December 27, 2021
Section 16 reporting ended · disclosed 2021-12-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 2,563,257 |
Last balance in matching sequence
After 2021-12-22 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2021-12-10 · Sale · Disposed 37,570 · Balance 3,022,957 F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. Row 2 · 2021-12-22 · Sale · Disposed 288,768 · Balance 2,734,189 F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. Row 3 · 2021-12-22 · Sale · Disposed 170,932 · Balance 2,563,257 F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest.
Mirum Pharmaceuticals, Inc.
Report date June 13, 2023 · Filed June 15, 2023
Section 16 reporting ended · disclosed 2023-06-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 2,186,243 |
Reported balance
After 2023-06-13 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2023-06-13 · Other · Disposed 2,000,000 · Balance 2,186,243 F1: New Enterprise Associates 16, L.P. ("NEA 16") made a pro rata distribution of 2,000,000 shares of Common Stock of the Issuer to its general partner and limited partners for no consideration on June 13, 2023. F2: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of NEA 16, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 0 |
Last balance in matching sequence
After 2023-06-13 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2023-06-13 · Other · Acquired 30,000 · Balance 30,000 F3: NEA Partners 16 received 30,000 shares of Common Stock of the Issuer in the distribution made by NEA 16 on June 13, 2023. F4: The Reporting Person is a manager of NEA 16 GP, which is the sole general partner of NEA Partners 16, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 16 in which the Reporting Person has no pecuniary interest. Row 3 · 2023-06-13 · Other · Disposed 30,000 · Balance 0 F5: NEA Partners 16 made a pro rata distribution for no consideration of an aggregate of 30,000 shares of Common Stock of the Issuer to its limited partners on June 13, 2023. F4: The Reporting Person is a manager of NEA 16 GP, which is the sole general partner of NEA Partners 16, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 16 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 7 | 153 |
Reported balance
After 2023-06-13 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2023-06-13 · Other · Acquired 153 · Balance 153 F6: Mohamad H. Makhzoumi and Katherine Makhzoumi, as Trustees of the Makhzoumi Family Trust dated February 11, 2016 (the "Makhzoumi Family Trust"), received 153 shares of Common Stock of the Issuer in the distribution made by NEA Partners 16 on June 13, 2023. F7: The securities are held directly by the Makhzoumi Family Trust. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by the Makhzoumi Family Trust in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 9 | 11,348 |
Reported balance
After 2023-06-13 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2023-06-13 · Other · Acquired 11,348 · Balance 11,348 F8: NEA Investment Holdings CF, LLC ("NEA Holdings CF"), the managing member of NEA Investments TC, LLC ("NEA Investments TC"), received 11,348 shares of Common Stock of the Issuer in a distribution by NEA Investments TC on June 13, 2023. NEA Investments TC received the shares in a distribution from its wholly owned subsidiary, New Enterprise Associates, LLC, which shares were received in the distribution by NEA Partners 16 on June 13, 2023. F9: The Reporting Person is a member of the Board of Directors of NEA Holdings CF, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Holdings CF in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: New Enterprise Associates 16, L.P. ("NEA 16") made a pro rata distribution of 2,000,000 shares of Common Stock of the Issuer to its general partner and limited partners for no consideration on June 13, 2023.
F2: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of NEA 16, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest.
F3: NEA Partners 16 received 30,000 shares of Common Stock of the Issuer in the distribution made by NEA 16 on June 13, 2023.
F4: The Reporting Person is a manager of NEA 16 GP, which is the sole general partner of NEA Partners 16, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 16 in which the Reporting Person has no pecuniary interest.
F5: NEA Partners 16 made a pro rata distribution for no consideration of an aggregate of 30,000 shares of Common Stock of the Issuer to its limited partners on June 13, 2023.
F6: Mohamad H. Makhzoumi and Katherine Makhzoumi, as Trustees of the Makhzoumi Family Trust dated February 11, 2016 (the "Makhzoumi Family Trust"), received 153 shares of Common Stock of the Issuer in the distribution made by NEA Partners 16 on June 13, 2023.
F7: The securities are held directly by the Makhzoumi Family Trust. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by the Makhzoumi Family Trust in which the Reporting Person has no pecuniary interest.
F8: NEA Investment Holdings CF, LLC ("NEA Holdings CF"), the managing member of NEA Investments TC, LLC ("NEA Investments TC"), received 11,348 shares of Common Stock of the Issuer in a distribution by NEA Investments TC on June 13, 2023. NEA Investments TC received the shares in a distribution from its wholly owned subsidiary, New Enterprise Associates, LLC, which shares were received in the distribution by NEA Partners 16 on June 13, 2023.
F9: The Reporting Person is a member of the Board of Directors of NEA Holdings CF, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Holdings CF in which the Reporting Person has no pecuniary interest.
NeueHealth, Inc.
Report date October 02, 2025 · Filed October 06, 2025
Section 16 reporting ended · disclosed 2025-10-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 0 |
Last balance in matching sequence
After 2025-10-02 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 1 · 2025-10-02 · Exercise / conversion · Acquired 189,195 · Balance 1,527,217 F1: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 2 · 2025-10-02 · Tax withholding · Disposed 280 · Balance 1,526,937 F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025. F1: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 3 · 2025-10-02 · Exercise / conversion · Acquired 434,297 · Balance 1,961,234 F1: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 4 · 2025-10-02 · Tax withholding · Disposed 643 · Balance 1,960,591 F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025. F1: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 5 · 2025-10-02 · Disposition to issuer · Disposed 1,960,591 · Balance 0 F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. F1: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 0 |
Reported balance
After 2025-10-02 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 6 · 2025-10-02 · Disposition to issuer · Disposed 43,678 · Balance 0 F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L.P. ("NEA 15-OF"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15-OF in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 5 | 0 |
Last balance in matching sequence
After 2025-10-02 transaction · row 11
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 7 · 2025-10-02 · Exercise / conversion · Acquired 189,195 · Balance 788,259 F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 8 · 2025-10-02 · Tax withholding · Disposed 280 · Balance 787,979 F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025. F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 9 · 2025-10-02 · Exercise / conversion · Acquired 372,255 · Balance 1,160,234 F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 10 · 2025-10-02 · Tax withholding · Disposed 551 · Balance 1,159,683 F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025. F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 11 · 2025-10-02 · Disposition to issuer · Disposed 1,159,683 · Balance 0 F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 6 | 0 |
Last balance in matching sequence
After 2025-10-02 transaction · row 16
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 12 · 2025-10-02 · Exercise / conversion · Acquired 189,195 · Balance 488,982 F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 13 · 2025-10-02 · Tax withholding · Disposed 280 · Balance 488,702 F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025. F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 14 · 2025-10-02 · Exercise / conversion · Acquired 186,128 · Balance 674,830 F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 15 · 2025-10-02 · Tax withholding · Disposed 276 · Balance 674,554 F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025. F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 16 · 2025-10-02 · Disposition to issuer · Disposed 674,554 · Balance 0 F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 7 | 0 |
Last balance in matching sequence
After 2025-10-02 transaction · row 23
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
7 source rowsRow 17 · 2025-10-02 · Exercise / conversion · Acquired 1,656,789 · Balance 1,656,789 F7: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Row 18 · 2025-10-02 · Tax withholding · Disposed 2,455 · Balance 1,654,334 F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025. F7: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Row 19 · 2025-10-02 · Exercise / conversion · Acquired 607,536 · Balance 2,261,870 F7: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Row 20 · 2025-10-02 · Tax withholding · Disposed 900 · Balance 2,260,970 F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025. F7: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Row 21 · 2025-10-02 · Exercise / conversion · Acquired 124,085 · Balance 2,385,055 F7: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Row 22 · 2025-10-02 · Tax withholding · Disposed 182 · Balance 2,384,873 F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025. F7: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Row 23 · 2025-10-02 · Disposition to issuer · Disposed 2,384,873 · Balance 0 F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. F7: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-10-02 transaction · row 24
1 source rowRow 24 · 2025-10-02 · Disposition to issuer · Disposed 16,443 · Balance 0 F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Note 1 | 0 |
Reported balance
After 2025-10-02 transaction · row 25
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 25 · 2025-10-02 · Exercise / conversion · Disposed 189,195 · Balance 0 F8: The warrants became exercisable as to 123,729 shares on April 30, 2024, 1,733 shares on June 21, 2024, 61,865 shares on October 2, 2024 and 1,868 shares on September 26, 2025. F1: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2030-10-02 | IndirectSee Note 1 | 434,297 |
Reported balance
After 2025-10-02 transaction · row 26
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 26 · 2025-10-02 · Grant · Acquired 434,297 · Balance 434,297 F9: Warrants issued pursuant to the Warrantholders Agreement, dated September 30, 2025 between the Issuer and the holders listed on Schedule 1 thereto, and the Credit Agreement, dated August 4, 2023, as amended by that certain Incremental Amendment No. 1, dated as of October 2, 2023, that certain Incremental Amendment No. 2, dated as of April 8, 2024, that certain Amendment No. 3, dated as of June 21, 2024, that certain Amendment No. 4, dated as of October 29, 2024, and that certain Amendment No. 5, dated as of September 30, 2025, between the Issuer and the lenders thereto. F1: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Note 1 | 0 |
Reported balance
After 2025-10-02 transaction · row 27
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 27 · 2025-10-02 · Exercise / conversion · Disposed 434,297 · Balance 0 F10: The warrants became fully exercisable on October 2, 2025. F1: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Note 5 | 0 |
Reported balance
After 2025-10-02 transaction · row 28
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 28 · 2025-10-02 · Exercise / conversion · Disposed 189,195 · Balance 0 F8: The warrants became exercisable as to 123,729 shares on April 30, 2024, 1,733 shares on June 21, 2024, 61,865 shares on October 2, 2024 and 1,868 shares on September 26, 2025. F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2030-10-02 | IndirectSee Note 5 | 372,255 |
Reported balance
After 2025-10-02 transaction · row 29
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 29 · 2025-10-02 · Grant · Acquired 372,255 · Balance 372,255 F9: Warrants issued pursuant to the Warrantholders Agreement, dated September 30, 2025 between the Issuer and the holders listed on Schedule 1 thereto, and the Credit Agreement, dated August 4, 2023, as amended by that certain Incremental Amendment No. 1, dated as of October 2, 2023, that certain Incremental Amendment No. 2, dated as of April 8, 2024, that certain Amendment No. 3, dated as of June 21, 2024, that certain Amendment No. 4, dated as of October 29, 2024, and that certain Amendment No. 5, dated as of September 30, 2025, between the Issuer and the lenders thereto. F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Note 5 | 0 |
Reported balance
After 2025-10-02 transaction · row 30
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 30 · 2025-10-02 · Exercise / conversion · Disposed 372,255 · Balance 0 F10: The warrants became fully exercisable on October 2, 2025. F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Note 6 | 0 |
Reported balance
After 2025-10-02 transaction · row 31
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 31 · 2025-10-02 · Exercise / conversion · Disposed 189,195 · Balance 0 F8: The warrants became exercisable as to 123,729 shares on April 30, 2024, 1,733 shares on June 21, 2024, 61,865 shares on October 2, 2024 and 1,868 shares on September 26, 2025. F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2030-10-02 | IndirectSee Note 6 | 186,128 |
Reported balance
After 2025-10-02 transaction · row 32
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 32 · 2025-10-02 · Grant · Acquired 186,128 · Balance 186,128 F9: Warrants issued pursuant to the Warrantholders Agreement, dated September 30, 2025 between the Issuer and the holders listed on Schedule 1 thereto, and the Credit Agreement, dated August 4, 2023, as amended by that certain Incremental Amendment No. 1, dated as of October 2, 2023, that certain Incremental Amendment No. 2, dated as of April 8, 2024, that certain Amendment No. 3, dated as of June 21, 2024, that certain Amendment No. 4, dated as of October 29, 2024, and that certain Amendment No. 5, dated as of September 30, 2025, between the Issuer and the lenders thereto. F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Note 6 | 0 |
Reported balance
After 2025-10-02 transaction · row 33
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 33 · 2025-10-02 · Exercise / conversion · Disposed 186,128 · Balance 0 F10: The warrants became fully exercisable on October 2, 2025. F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series A Convertible Perpetual Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 6 | 0 |
Reported balance
After 2025-10-02 transaction · row 34
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 34 · 2025-10-02 · Disposition to issuer · Disposed 75,000 · Balance 0 F11: The Series A Preferred Stock was convertible into the number of shares of the Issuer's Common Stock equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 per share) plus (ii) the accrued dividends thereon as of the conversion date, divided by (b) the conversion price (initially approximately $4.55 per share) as of the conversion date, subject to anti-dilution adjustments. The Series A Preferred Stock was convertible at any time and had no expiration date, subject to the Issuer's election to convert or redeem all of the Series A Preferred Stock upon the occurrence of certain conditions. F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series B Convertible Perpetual Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 6 | 0 |
Reported balance
After 2025-10-02 transaction · row 35
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 35 · 2025-10-02 · Disposition to issuer · Disposed 37,700 · Balance 0 F12: The Series B Preferred Stock was convertible into the number of shares of the Issuer's Common Stock equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 per share) plus (ii) the accrued dividends thereon as of the conversion date, divided by (b) the conversion price (initially approximately $1.4169 per share) as of the conversion date, subject to anti-dilution adjustments. The Series B Preferred Stock was convertible at any time and had no expiration date, subject to the Issuer's election to convert or redeem all of the Series B Preferred Stock upon the occurrence of certain conditions. F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Note 7 | 0 |
Reported balance
After 2025-10-02 transaction · row 36
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 36 · 2025-10-02 · Exercise / conversion · Disposed 1,656,789 · Balance 0 F13: The warrants became exercisable as to 828,395 shares on August 29, 2023, 552,263 shares on September 18, 2023, 100,606 shares on November 1, 2023 and 175,525 shares on December 20, 2023. F7: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Note 7 | 0 |
Reported balance
After 2025-10-02 transaction · row 37
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 37 · 2025-10-02 · Exercise / conversion · Disposed 607,536 · Balance 0 F14: The warrants became exercisable as to 371,187 shares on April 30, 2024, 28,399 shares on June 21, 2024, 185,595 shares on October 2, 2024 and 22,355 shares on September 26, 2025. F7: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2030-10-02 | IndirectSee Note 7 | 124,085 |
Reported balance
After 2025-10-02 transaction · row 38
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 38 · 2025-10-02 · Grant · Acquired 124,085 · Balance 124,085 F9: Warrants issued pursuant to the Warrantholders Agreement, dated September 30, 2025 between the Issuer and the holders listed on Schedule 1 thereto, and the Credit Agreement, dated August 4, 2023, as amended by that certain Incremental Amendment No. 1, dated as of October 2, 2023, that certain Incremental Amendment No. 2, dated as of April 8, 2024, that certain Amendment No. 3, dated as of June 21, 2024, that certain Amendment No. 4, dated as of October 29, 2024, and that certain Amendment No. 5, dated as of September 30, 2025, between the Issuer and the lenders thereto. F7: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Note 7 | 0 |
Reported balance
After 2025-10-02 transaction · row 39
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 39 · 2025-10-02 · Exercise / conversion · Disposed 124,085 · Balance 0 F10: The warrants became fully exercisable on October 2, 2025. F7: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. |
| Series A Convertible Perpetual Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 7 | 0 |
Reported balance
After 2025-10-02 transaction · row 40
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 40 · 2025-10-02 · Disposition to issuer · Disposed 125,000 · Balance 0 F11: The Series A Preferred Stock was convertible into the number of shares of the Issuer's Common Stock equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 per share) plus (ii) the accrued dividends thereon as of the conversion date, divided by (b) the conversion price (initially approximately $4.55 per share) as of the conversion date, subject to anti-dilution adjustments. The Series A Preferred Stock was convertible at any time and had no expiration date, subject to the Issuer's election to convert or redeem all of the Series A Preferred Stock upon the occurrence of certain conditions. F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. F7: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. |
| Series B Convertible Perpetual Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 7 | 0 |
Reported balance
After 2025-10-02 transaction · row 41
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 41 · 2025-10-02 · Disposition to issuer · Disposed 100,000 · Balance 0 F12: The Series B Preferred Stock was convertible into the number of shares of the Issuer's Common Stock equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 per share) plus (ii) the accrued dividends thereon as of the conversion date, divided by (b) the conversion price (initially approximately $1.4169 per share) as of the conversion date, subject to anti-dilution adjustments. The Series B Preferred Stock was convertible at any time and had no expiration date, subject to the Issuer's election to convert or redeem all of the Series B Preferred Stock upon the occurrence of certain conditions. F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. F7: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest.
F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025.
F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist.
F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L.P. ("NEA 15-OF"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15-OF in which the Reporting Person has no pecuniary interest.
F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest.
F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest.
F7: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest.
F8: The warrants became exercisable as to 123,729 shares on April 30, 2024, 1,733 shares on June 21, 2024, 61,865 shares on October 2, 2024 and 1,868 shares on September 26, 2025.
F9: Warrants issued pursuant to the Warrantholders Agreement, dated September 30, 2025 between the Issuer and the holders listed on Schedule 1 thereto, and the Credit Agreement, dated August 4, 2023, as amended by that certain Incremental Amendment No. 1, dated as of October 2, 2023, that certain Incremental Amendment No. 2, dated as of April 8, 2024, that certain Amendment No. 3, dated as of June 21, 2024, that certain Amendment No. 4, dated as of October 29, 2024, and that certain Amendment No. 5, dated as of September 30, 2025, between the Issuer and the lenders thereto.
F10: The warrants became fully exercisable on October 2, 2025.
F11: The Series A Preferred Stock was convertible into the number of shares of the Issuer's Common Stock equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 per share) plus (ii) the accrued dividends thereon as of the conversion date, divided by (b) the conversion price (initially approximately $4.55 per share) as of the conversion date, subject to anti-dilution adjustments. The Series A Preferred Stock was convertible at any time and had no expiration date, subject to the Issuer's election to convert or redeem all of the Series A Preferred Stock upon the occurrence of certain conditions.
F12: The Series B Preferred Stock was convertible into the number of shares of the Issuer's Common Stock equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 per share) plus (ii) the accrued dividends thereon as of the conversion date, divided by (b) the conversion price (initially approximately $1.4169 per share) as of the conversion date, subject to anti-dilution adjustments. The Series B Preferred Stock was convertible at any time and had no expiration date, subject to the Issuer's election to convert or redeem all of the Series B Preferred Stock upon the occurrence of certain conditions.
F13: The warrants became exercisable as to 828,395 shares on August 29, 2023, 552,263 shares on September 18, 2023, 100,606 shares on November 1, 2023 and 175,525 shares on December 20, 2023.
F14: The warrants became exercisable as to 371,187 shares on April 30, 2024, 28,399 shares on June 21, 2024, 185,595 shares on October 2, 2024 and 22,355 shares on September 26, 2025.
Nightstar Therapeutics plc
Report date June 07, 2019 · Filed June 07, 2019
Jointly reported with New Enterprise Associates 15, L.P., Sonsini Peter W., BARRIS PETER J, MAKOWER JOSHUA, SANDELL SCOTT D, BASKETT FOREST, Florence Anthony A. Jr., NEA 15 GP, LLC, NEA Partners 15, L.P.
Section 16 reporting ended · disclosed 2019-06-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-06-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-06-07 · Disposition to issuer · Disposed 6,662,532 · Balance 0 F1: The ordinary shares, nominal value GBP 0.01 per share, of Nightstar Therapeutics plc (the "Issuer") may be represented by American Depositary Shares ("ADSs"). Each ADS represents one ordinary share of the Issuer. F2: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15") and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA 15, NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 15 in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The ordinary shares, nominal value GBP 0.01 per share, of Nightstar Therapeutics plc (the "Issuer") may be represented by American Depositary Shares ("ADSs"). Each ADS represents one ordinary share of the Issuer.
F2: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15") and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA 15, NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 15 in which the Indirect Reporting Persons have no pecuniary interest.
Regulus Therapeutics Inc.
Report date March 09, 2021 · Filed March 16, 2021
Section 16 reporting ended · disclosed 2021-03-16. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
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 |
|---|---|---|---|---|---|---|
| December 20, 2022 Filed Dec 22, 2022 23:47 UTC | Arcellx, Inc. ACLX · Entity 15294 | OtherCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-062516 · doc4.xml · nonDerivative · entry 2 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 4 Disclosed balance after: 30,000 F3 · kind: NEA Partners 15 received 30,000 shares of Common Stock of the Issuer in the distribution made by NEA 15 on December 20, 2022. F4 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| December 20, 2022 Filed Dec 22, 2022 23:47 UTC | Arcellx, Inc. ACLX · Entity 15294 | OtherCommon Stock | 2,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-062516 · doc4.xml · nonDerivative · entry 1 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 4,745,262 F1 · kind: New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution of 2,000,000 shares of Common Stock of the Issuer to its general partner and limited partners for no consideration on December 20, 2022. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of NEA 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| November 30, 2022 Filed Dec 2, 2022 17:07 UTC | Akouos, Inc. AKUS · Entity 11574 | OtherCommon Stock | 4,294,207 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-059454 · doc4.xml · nonDerivative · entry 1 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 3 Disclosed balance after: 0 F1 · shares: 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 and less any applicable tax withholding, plus (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, [Continued on Note 2] F2 · shares: [Continuation of Note 1] 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. F1 · price: 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 and less any applicable tax withholding, plus (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, [Continued on Note 2] F2 · price: [Continuation of Note 1] 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 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. Read SEC document |
| November 16, 2022 Filed Nov 18, 2022 22:11 UTC | IonQ, Inc. IONQ · Entity 3350 | OtherCommon Stock | 1,654 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-057929 · doc4.xml · nonDerivative · entry 5 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,654 F8 · kind: The Reporting Person received 1,654 shares of Common Stock of the Issuer in the distribution by NEA Partners 15 on November 16, 2022 Read SEC document |
| November 16, 2022 Filed Nov 18, 2022 22:11 UTC | IonQ, Inc. IONQ · Entity 3350 | OtherCommon Stock | 1,047 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-057929 · doc4.xml · nonDerivative · entry 4 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 7 Disclosed balance after: 1,047 F6 · kind: New Enterprise Associates, LLC ("NEA LLC") received 1,047 shares of Common Stock of the Issuer in a distribution by NEA 15 on November 16, 2022. F7 · ownership.nature: The Reporting Person is a member of the Board of Directors of NEA LLC, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA LLC in which the Reporting Person has no pecuniary interest. Read SEC document |
| November 16, 2022 Filed Nov 18, 2022 22:11 UTC | IonQ, Inc. IONQ · Entity 3350 | OtherCommon Stock | 175,378 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-057929 · doc4.xml · nonDerivative · entry 3 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 4 Disclosed balance after: 0 F5 · kind: NEA Partners 15 made a pro rata distribution of 175,378 shares of Common Stock of the Issuer to its limited partners for no consideration on November 16, 2022. F4 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| November 16, 2022 Filed Nov 18, 2022 22:11 UTC | IonQ, Inc. IONQ · Entity 3350 | OtherCommon Stock | 175,378 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-057929 · doc4.xml · nonDerivative · entry 2 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 4 Disclosed balance after: 175,378 F3 · kind: NEA Partners 15 received 175,378 shares of Common Stock of the Issuer in the distribution made by NEA 15 on November 16, 2022. F4 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| November 16, 2022 Filed Nov 18, 2022 22:11 UTC | IonQ, Inc. IONQ · Entity 3350 | OtherCommon Stock | 11,691,864 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-057929 · doc4.xml · nonDerivative · entry 1 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 14,614,829 F1 · kind: New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution of 11,691,864 shares of Common Stock of the Issuer to its general partner and limited partners for no consideration on November 16, 2022. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of NEA 15 the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 19, 2022 Filed Oct 21, 2022 16:50 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | OtherCommon Stock | 559 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-054290 · doc4.xml · nonDerivative · entry 7 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 559 F11 · kind: The Reporting Person received 559 shares of Common Stock of the Issuer in the distribution by NEA Partners 15 on October 19, 2022. Read SEC document |
| October 19, 2022 Filed Oct 21, 2022 16:50 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | OtherCommon Stock | 354 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-054290 · doc4.xml · nonDerivative · entry 6 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 10 Disclosed balance after: 354 F9 · kind: NEA Investment Holdings CF, LLC ("NEA Holdings CF"), the managing member of NEA Investments TC, LLC ("NEA Investments TC"), received 354 shares of Common Stock of the Issuer in a distribution by NEA Investments TC on October 19, 2022. NEA Investments TC received the shares in a distribution from its wholly owned subsidiary, New Enterprise Associates, LLC, which shares were received in the distribution by NEA 15 on October 19, 2022. F10 · ownership.nature: The Reporting Person is a member of the Board of Directors of NEA Holdings CF, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Holdings CF in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 19, 2022 Filed Oct 21, 2022 16:50 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | OtherCommon Stock | 59,294 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-054290 · doc4.xml · nonDerivative · entry 5 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 7 Disclosed balance after: 0 F8 · kind: NEA Partners 15 made a pro rata distribution for no consideration of an aggregate of 59,294 shares of Common Stock of the Issuer to its limited partners on October 19, 2022. F7 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 19, 2022 Filed Oct 21, 2022 16:50 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | OtherCommon Stock | 59,294 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-054290 · doc4.xml · nonDerivative · entry 4 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 7 Disclosed balance after: 59,294 F6 · kind: NEA Partners 15 received 59,294 shares of Common Stock of the Issuer in the distribution made by NEA 15 on October 19, 2022. F7 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 19, 2022 Filed Oct 21, 2022 16:50 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | OtherCommon Stock | 3,952,957 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-054290 · doc4.xml · nonDerivative · entry 3 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 4 Disclosed balance after: 0 F5 · kind: NEA 15 made a pro rata distribution of 3,952,957 shares of Common Stock of the Issuer for no consideration to its general partner and limited partners on October 19, 2022. F4 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15. NEA Partners 15 is the sole general partner of NEA 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 19, 2022 Filed Oct 21, 2022 16:50 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | OtherCommon Stock | 3,952,957 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-054290 · doc4.xml · nonDerivative · entry 2 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 4 Disclosed balance after: 3,952,957 F3 · kind: NEA 15 received 3,952,957 shares of Common Stock of the Issuer in the distribution made by GEO IV on October 19, 2022. F4 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15. NEA Partners 15 is the sole general partner of NEA 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 19, 2022 Filed Oct 21, 2022 16:50 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | OtherCommon Stock | 3,952,957 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-054290 · doc4.xml · nonDerivative · entry 1 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 0 F1 · kind: Growth Equity Opportunities Fund IV, LLC ("GEO IV") made a distribution of 3,952,957 shares of Common Stock of the Issuer to its sole member for no consideration on October 19, 2022. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of GEO IV, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 17, 2022 Filed Oct 19, 2022 23:58 UTC | NeueHealth, Inc. BHG · Entity 74308 | GrantSeries B Convertible Perpetual Preferred Stock · Derivative | 100,000 | $1,000.00 | $100,000,000.00 |
DisclosureSEC source: 0001209191-22-054143 · doc4.xml · derivative · entry 2 Makhzoumi Mohamad · CIK 0001630226 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 5 Disclosed balance after: 100,000 Underlying: Common Stock · 70,574,720 shares Expires not disclosed F1 · derivative.exercise_price: The Issuer's Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") is convertible at the option of the holder (subject to the expiration or early termination of the applicable waiting period, if any, under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended) into the number of shares of the Issuer's common stock ("Common Stock") equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 plus increases for accumulated quarterly dividends that are not paid in cash ("compounded dividends")) plus (ii) the accrued dividends with respect to each share of Series B Preferred Stock as of the applicable conversion date divided by (b) the conversion price as of the applicable conversion date (initially approximately $1.4169), subject to anti-dilution adjustments. F1 · price: The Issuer's Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") is convertible at the option of the holder (subject to the expiration or early termination of the applicable waiting period, if any, under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended) into the number of shares of the Issuer's common stock ("Common Stock") equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 plus increases for accumulated quarterly dividends that are not paid in cash ("compounded dividends")) plus (ii) the accrued dividends with respect to each share of Series B Preferred Stock as of the applicable conversion date divided by (b) the conversion price as of the applicable conversion date (initially approximately $1.4169), subject to anti-dilution adjustments. F1 · derivative.exercise_date: The Issuer's Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") is convertible at the option of the holder (subject to the expiration or early termination of the applicable waiting period, if any, under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended) into the number of shares of the Issuer's common stock ("Common Stock") equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 plus increases for accumulated quarterly dividends that are not paid in cash ("compounded dividends")) plus (ii) the accrued dividends with respect to each share of Series B Preferred Stock as of the applicable conversion date divided by (b) the conversion price as of the applicable conversion date (initially approximately $1.4169), subject to anti-dilution adjustments. F2 · derivative.expiration_date: The Series B Preferred Stock has no expiration date. At any time after the third anniversary of the original issuance date, if the closing price per share of Common Stock is greater than 287% of the then applicable conversion price (initially $4.07) for (x) at least 20 trading days in any period of 30 consecutive trading days and (y) the last trading day immediately before the Issuer provides notice of its election to convert, the Issuer may elect to convert all of the Series B Preferred Stock into the relevant number of shares of Common Stock. [Continued on Note 3] F3 · derivative.expiration_date: [Continuation of Note 2] At any time following the fifth anniversary of the original issuance date, the Issuer may redeem all of the Series B Preferred Stock for a per share amount in cash equal to: (i) the sum of (A) the liquidation preference (reflecting increases for compounded dividends) thereof plus (B) all accrued dividends as of the applicable redemption date, multiplied by (ii) (A) 105% if the redemption occurs at any time prior to the seventh anniversary of the original issuance date and (B) 100% if the redemption occurs at any time on or after the seventh anniversary of the original issuance date. F5 · ownership.nature: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 17, 2022 Filed Oct 19, 2022 23:58 UTC | NeueHealth, Inc. BHG · Entity 74308 | GrantSeries B Convertible Perpetual Preferred Stock · Derivative | 37,700 | $1,000.00 | $37,700,000.00 |
DisclosureSEC source: 0001209191-22-054143 · doc4.xml · derivative · entry 1 Makhzoumi Mohamad · CIK 0001630226 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 4 Disclosed balance after: 37,700 Underlying: Common Stock · 26,606,669 shares Expires not disclosed F1 · derivative.exercise_price: The Issuer's Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") is convertible at the option of the holder (subject to the expiration or early termination of the applicable waiting period, if any, under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended) into the number of shares of the Issuer's common stock ("Common Stock") equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 plus increases for accumulated quarterly dividends that are not paid in cash ("compounded dividends")) plus (ii) the accrued dividends with respect to each share of Series B Preferred Stock as of the applicable conversion date divided by (b) the conversion price as of the applicable conversion date (initially approximately $1.4169), subject to anti-dilution adjustments. F1 · price: The Issuer's Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") is convertible at the option of the holder (subject to the expiration or early termination of the applicable waiting period, if any, under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended) into the number of shares of the Issuer's common stock ("Common Stock") equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 plus increases for accumulated quarterly dividends that are not paid in cash ("compounded dividends")) plus (ii) the accrued dividends with respect to each share of Series B Preferred Stock as of the applicable conversion date divided by (b) the conversion price as of the applicable conversion date (initially approximately $1.4169), subject to anti-dilution adjustments. F1 · derivative.exercise_date: The Issuer's Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") is convertible at the option of the holder (subject to the expiration or early termination of the applicable waiting period, if any, under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended) into the number of shares of the Issuer's common stock ("Common Stock") equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 plus increases for accumulated quarterly dividends that are not paid in cash ("compounded dividends")) plus (ii) the accrued dividends with respect to each share of Series B Preferred Stock as of the applicable conversion date divided by (b) the conversion price as of the applicable conversion date (initially approximately $1.4169), subject to anti-dilution adjustments. F2 · derivative.expiration_date: The Series B Preferred Stock has no expiration date. At any time after the third anniversary of the original issuance date, if the closing price per share of Common Stock is greater than 287% of the then applicable conversion price (initially $4.07) for (x) at least 20 trading days in any period of 30 consecutive trading days and (y) the last trading day immediately before the Issuer provides notice of its election to convert, the Issuer may elect to convert all of the Series B Preferred Stock into the relevant number of shares of Common Stock. [Continued on Note 3] F3 · derivative.expiration_date: [Continuation of Note 2] At any time following the fifth anniversary of the original issuance date, the Issuer may redeem all of the Series B Preferred Stock for a per share amount in cash equal to: (i) the sum of (A) the liquidation preference (reflecting increases for compounded dividends) thereof plus (B) all accrued dividends as of the applicable redemption date, multiplied by (ii) (A) 105% if the redemption occurs at any time prior to the seventh anniversary of the original issuance date and (B) 100% if the redemption occurs at any time on or after the seventh anniversary of the original issuance date. F4 · ownership.nature: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Read SEC document |
| June 21, 2022 Filed Jun 23, 2022 21:10 UTC | Arcellx, Inc. ACLX · Entity 15294 | PurchaseCommon Stock | 312,500 | $16.00 | $5,000,000.00 |
DisclosureSEC source: 0001209191-22-038994 · doc4.xml · nonDerivative · entry 1 New Enterprise Associates 15, L.P. · CIK 0001629794 · 10% owner SANDELL SCOTT D · CIK 0001237289 · 10% owner Sonsini Peter W. · CIK 0001559807 · 10% owner NEA Partners 15, L.P. · CIK 0001640031 · 10% owner NEA 15 GP, LLC · CIK 0001640033 · 10% owner Makhzoumi Mohamad · CIK 0001630226 · 10% owner Florence Anthony A. Jr. · CIK 0001559827 · 10% owner BASKETT FOREST · CIK 0001277631 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,745,262 F1 · ownership.direct: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. Read SEC document |
| May 31, 2022 Filed May 31, 2022 20:31 UTC | IonQ, Inc. IONQ · Entity 3350 | SaleCommon Stock | 498,614 | $5.65 | $2,815,374.09 |
DisclosureSEC source: 0001209191-22-032835 · doc4.xml · nonDerivative · entry 3 New Enterprise Associates 15, L.P. · CIK 0001629794 · 10% owner NEA Partners 15, L.P. · CIK 0001640031 · 10% owner NEA 15 GP, LLC · CIK 0001640033 · 10% owner BASKETT FOREST · CIK 0001277631 · 10% owner Florence Anthony A. Jr. · CIK 0001559827 · 10% owner Makhzoumi Mohamad · CIK 0001630226 · 10% owner SANDELL SCOTT D · CIK 0001237289 · 10% owner Sonsini Peter W. · CIK 0001559807 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,306,693 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.485 to $6.12, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. F2 · ownership.direct: The securities are directly held by New Enterprise Associates 15, L.P. ("NEA 15") and are indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP (collectively, the "Managers"), together, the "Indirect Reporting Persons"). The Managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Indirect Reporting Persons have no pecuniary interest. Read SEC document |
| May 27, 2022 Filed May 31, 2022 20:31 UTC | IonQ, Inc. IONQ · Entity 3350 | SaleCommon Stock | 1,497,733 | $5.93 | $8,880,358.50 |
DisclosureSEC source: 0001209191-22-032835 · doc4.xml · nonDerivative · entry 2 New Enterprise Associates 15, L.P. · CIK 0001629794 · 10% owner NEA Partners 15, L.P. · CIK 0001640031 · 10% owner NEA 15 GP, LLC · CIK 0001640033 · 10% owner BASKETT FOREST · CIK 0001277631 · 10% owner Florence Anthony A. Jr. · CIK 0001559827 · 10% owner Makhzoumi Mohamad · CIK 0001630226 · 10% owner SANDELL SCOTT D · CIK 0001237289 · 10% owner Sonsini Peter W. · CIK 0001559807 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,805,307 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.68 to $6.1115, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. F2 · ownership.direct: The securities are directly held by New Enterprise Associates 15, L.P. ("NEA 15") and are indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP (collectively, the "Managers"), together, the "Indirect Reporting Persons"). The Managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Indirect Reporting Persons have no pecuniary interest. Read SEC document |
| May 26, 2022 Filed May 31, 2022 20:31 UTC | IonQ, Inc. IONQ · Entity 3350 | SaleCommon Stock | 926,619 | $5.80 | $5,377,726.03 |
DisclosureSEC source: 0001209191-22-032835 · doc4.xml · nonDerivative · entry 1 New Enterprise Associates 15, L.P. · CIK 0001629794 · 10% owner NEA Partners 15, L.P. · CIK 0001640031 · 10% owner NEA 15 GP, LLC · CIK 0001640033 · 10% owner BASKETT FOREST · CIK 0001277631 · 10% owner Florence Anthony A. Jr. · CIK 0001559827 · 10% owner Makhzoumi Mohamad · CIK 0001630226 · 10% owner SANDELL SCOTT D · CIK 0001237289 · 10% owner Sonsini Peter W. · CIK 0001559807 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,303,040 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.71 to $6.01, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. F2 · ownership.direct: The securities are directly held by New Enterprise Associates 15, L.P. ("NEA 15") and are indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP (collectively, the "Managers"), together, the "Indirect Reporting Persons"). The Managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Indirect Reporting Persons have no pecuniary interest. Read SEC document |
| May 25, 2022 Filed May 26, 2022 18:25 UTC | GENOCEA BIOSCIENCES, INC. GNCA · Entity 12635 | SaleCommon Stock | 4,445,093 | $0.08 | $362,719.59 |
DisclosureSEC source: 0001209191-22-032326 · doc4.xml · nonDerivative · entry 2 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 0 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.0675 to $0.0980, 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 (3) to this Form 4. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 24, 2022 Filed May 26, 2022 18:25 UTC | GENOCEA BIOSCIENCES, INC. GNCA · Entity 12635 | SaleCommon Stock | 5,931,843 | $0.07 | $387,942.53 |
DisclosureSEC source: 0001209191-22-032326 · doc4.xml · nonDerivative · entry 1 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 4,445,093 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.060 to $0.0746, 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 (1) to this Form 4. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 13, 2022 Filed May 18, 2022 00:10 UTC | NeueHealth, Inc. BHG · Entity 74308 | GrantRestricted Stock Units · Derivative | 95,109 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-029875 · doc4.xml · derivative · entry 1 Makhzoumi Mohamad · CIK 0001630226 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,109 Underlying: Common Stock · 95,109 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The restricted stock units vest one year from the date of the grant. F2 · derivative.expiration_date: The restricted stock units vest one year from the date of the grant. Read SEC document |
| May 03, 2022 Filed May 4, 2022 23:46 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | SaleClass A Common Stock | 1,952 | $10.06 | $19,640.44 |
DisclosureSEC source: 0001209191-22-027249 · doc4.xml · nonDerivative · entry 9 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 13 Disclosed balance after: 0 F14 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.03 to $10.075, 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 (14) to this Form 4. F13 · ownership.nature: The Reporting Person is a member of the Board of Directors of NEA Holdings CF, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Holdings CF in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 02, 2022 Filed May 4, 2022 23:46 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | OtherClass A Common Stock | 1,952 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-027249 · doc4.xml · nonDerivative · entry 8 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 13 Disclosed balance after: 1,952 F12 · kind: NEA Holdings CF, LLC ("NEA Holdings CF"), the managing member of NEA Investment TC, LLC ("NEA Investment TC"), received 1,952 shares of Class A Common Stock of the Issuer in a distribution by NEA Investments TC on May 2, 2022. NEA Investment TC received the shares in a distribution from its wholly owned subsidiary, New Enterprise Associates, LLC, which shares were received in the distribution by NEA 15 on May 2, 2022. F13 · ownership.nature: The Reporting Person is a member of the Board of Directors of NEA Holdings CF, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Holdings CF in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 02, 2022 Filed May 4, 2022 23:46 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | OtherClass A Common Stock | 3,083 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-027249 · doc4.xml · nonDerivative · entry 7 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,371 F11 · kind: The Reporting Person received 3,083 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 15 on May 2, 2022. Read SEC document |
| May 02, 2022 Filed May 4, 2022 23:46 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | OtherClass A Common Stock | 30,431 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-027249 · doc4.xml · nonDerivative · entry 6 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 9 Disclosed balance after: 0 F10 · kind: NEA Partners 17 made a distribution for no consideration of an aggregate of 30,431 shares of Class A Common Stock of the Issuer to a limited partner on May 2, 2022. F9 · ownership.nature: The Reporting Person is a manager of NEA 17 GP, which is the sole general partner of NEA Partners 17, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 17 in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 02, 2022 Filed May 4, 2022 23:46 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | OtherClass A Common Stock | 30,431 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-027249 · doc4.xml · nonDerivative · entry 5 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 9 Disclosed balance after: 30,431 F8 · kind: NEA Partners 17 received 30,431 shares of Class A Common Stock of the Issuer in the distribution by NEA 17 on May 2, 2022. F9 · ownership.nature: The Reporting Person is a manager of NEA 17 GP, which is the sole general partner of NEA Partners 17, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 17 in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 02, 2022 Filed May 4, 2022 23:46 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | OtherClass A Common Stock | 2,028,736 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-027249 · doc4.xml · nonDerivative · entry 4 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 7 Disclosed balance after: 2,028,736 F6 · kind: New Enterprise Associates 17, L.P. ("NEA 17") made a pro rata distribution for no consideration of an aggregate of 2,028,736 shares of Class A Common Stock of the Issuer to its general partner and limited partners on May 2, 2022. F7 · ownership.nature: The Reporting Person is a manager of NEA 17 GP, LLC ("NEA 17 GP"), which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of NEA 17, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 02, 2022 Filed May 4, 2022 23:46 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | OtherClass A Common Stock | 326,913 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-027249 · doc4.xml · nonDerivative · entry 3 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 4 Disclosed balance after: 0 F5 · kind: NEA Partners 15 made a pro rata distribution for no consideration of an aggregate of 326,913 shares of Class A Common Stock of the Issuer to its limited partners on May 2, 2022. F4 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 02, 2022 Filed May 4, 2022 23:46 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | OtherClass A Common Stock | 326,913 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-027249 · doc4.xml · nonDerivative · entry 2 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 4 Disclosed balance after: 326,913 F3 · kind: NEA Partners 15 received 326,913 shares of Class A Common Stock of the Issuer in the distribution by NEA 15 on May 2, 2022. F4 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 02, 2022 Filed May 4, 2022 23:46 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | OtherClass A Common Stock | 21,794,173 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-027249 · doc4.xml · nonDerivative · entry 1 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 21,794,172 F1 · kind: New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution for no consideration of an aggregate of 21,794,173 shares of Class A Common Stock of the Issuer to its general partner and limited partners on May 2, 2022. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of NEA 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| April 11, 2022 Filed Apr 13, 2022 21:21 UTC | Trevi Therapeutics, Inc. TRVI · Entity 4387 | PurchasePre-Funded Warrants · Derivative | 3,000,000 | $1.90 Strike: $0.00 | $5,697,000.00 |
DisclosureSEC source: 0001209191-22-024319 · doc4.xml · derivative · entry 3 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 3 Disclosed balance after: 3,000,000 Underlying: Common Stock · 3,000,000 shares Expires not disclosed F1 · kind: Acquired from the Issuer on April 11, 2022 pursuant to a Securities Purchase Agreement dated April 6, 2022. F4 · derivative.exercise_date: The Pre-Funded Warrants are exercisable immediately and will be exercisable until exercised in full. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 9.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise, which percentage may be increased or decreased at the holder's election upon 61 days' notice to the Issuer, not to exceed 19.99%. F4 · derivative.expiration_date: The Pre-Funded Warrants are exercisable immediately and will be exercisable until exercised in full. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 9.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise, which percentage may be increased or decreased at the holder's election upon 61 days' notice to the Issuer, not to exceed 19.99%. F3 · ownership.nature: The Reporting Person is a manager of NEA 18 VG GP, LLC, which is the sole general partner of NEA Partners 18 VG, L.P. ("NEA Partners 18 VG"). NEA Partners 18 VG is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Read SEC document |
| April 11, 2022 Filed Apr 13, 2022 21:21 UTC | Trevi Therapeutics, Inc. TRVI · Entity 4387 | PurchaseCommon Stock | 948,948 | $1.90 | $1,803,001.20 |
DisclosureSEC source: 0001209191-22-024319 · doc4.xml · nonDerivative · entry 2 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 3 Disclosed balance after: 948,948 F1 · kind: Acquired from the Issuer on April 11, 2022 pursuant to a Securities Purchase Agreement dated April 6, 2022. F3 · ownership.nature: The Reporting Person is a manager of NEA 18 VG GP, LLC, which is the sole general partner of NEA Partners 18 VG, L.P. ("NEA Partners 18 VG"). NEA Partners 18 VG is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Read SEC document |
| April 11, 2022 Filed Apr 13, 2022 21:21 UTC | Trevi Therapeutics, Inc. TRVI · Entity 4387 | PurchaseCommon Stock | 2,631,578 | $1.90 | $4,999,998.20 |
DisclosureSEC source: 0001209191-22-024319 · doc4.xml · nonDerivative · entry 1 Makhzoumi Mohamad · CIK 0001630226 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 10,421,428 F1 · kind: Acquired from the Issuer on April 11, 2022 pursuant to a Securities Purchase Agreement dated April 6, 2022. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. Read SEC document |
| February 08, 2022 Filed Feb 9, 2022 23:18 UTC | Arcellx, Inc. ACLX · Entity 15294 | ConversionSeries C Preferred Stock · Derivative | 1,732,786 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-008192 · doc4.xml · derivative · entry 6 New Enterprise Associates 15, L.P. · CIK 0001629794 · 10% owner BASKETT FOREST · CIK 0001277631 · 10% owner Florence Anthony A. Jr. · CIK 0001559827 · 10% owner Makhzoumi Mohamad · CIK 0001630226 · 10% owner NEA 15 GP, LLC · CIK 0001640033 · 10% owner NEA Partners 15, L.P. · CIK 0001640031 · 10% owner SANDELL SCOTT D · CIK 0001237289 · 10% owner Sonsini Peter W. · CIK 0001559807 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,732,786 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: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F1 · price: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F1 · derivative.exercise_date: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F1 · derivative.expiration_date: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F2 · ownership.direct: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. Read SEC document |
| February 08, 2022 Filed Feb 9, 2022 23:18 UTC | Arcellx, Inc. ACLX · Entity 15294 | ConversionSeries B-2 Preferred Stock · Derivative | 698,421 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-008192 · doc4.xml · derivative · entry 5 New Enterprise Associates 15, L.P. · CIK 0001629794 · 10% owner BASKETT FOREST · CIK 0001277631 · 10% owner Florence Anthony A. Jr. · CIK 0001559827 · 10% owner Makhzoumi Mohamad · CIK 0001630226 · 10% owner NEA 15 GP, LLC · CIK 0001640033 · 10% owner NEA Partners 15, L.P. · CIK 0001640031 · 10% owner SANDELL SCOTT D · CIK 0001237289 · 10% owner Sonsini Peter W. · CIK 0001559807 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 698,421 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: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F1 · price: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F1 · derivative.exercise_date: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F1 · derivative.expiration_date: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F2 · ownership.direct: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. Read SEC document |
| February 08, 2022 Filed Feb 9, 2022 23:18 UTC | Arcellx, Inc. ACLX · Entity 15294 | ConversionSeries B-1 Preferred Stock · Derivative | 872,915 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-008192 · doc4.xml · derivative · entry 4 New Enterprise Associates 15, L.P. · CIK 0001629794 · 10% owner BASKETT FOREST · CIK 0001277631 · 10% owner Florence Anthony A. Jr. · CIK 0001559827 · 10% owner Makhzoumi Mohamad · CIK 0001630226 · 10% owner NEA 15 GP, LLC · CIK 0001640033 · 10% owner NEA Partners 15, L.P. · CIK 0001640031 · 10% owner SANDELL SCOTT D · CIK 0001237289 · 10% owner Sonsini Peter W. · CIK 0001559807 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 872,915 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: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F1 · price: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F1 · derivative.exercise_date: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F1 · derivative.expiration_date: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F2 · ownership.direct: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. Read SEC document |
| February 08, 2022 Filed Feb 9, 2022 23:18 UTC | Arcellx, Inc. ACLX · Entity 15294 | ConversionSeries A Preferred Stock · Derivative | 1,545,307 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-008192 · doc4.xml · derivative · entry 3 New Enterprise Associates 15, L.P. · CIK 0001629794 · 10% owner BASKETT FOREST · CIK 0001277631 · 10% owner Florence Anthony A. Jr. · CIK 0001559827 · 10% owner Makhzoumi Mohamad · CIK 0001630226 · 10% owner NEA 15 GP, LLC · CIK 0001640033 · 10% owner NEA Partners 15, L.P. · CIK 0001640031 · 10% owner SANDELL SCOTT D · CIK 0001237289 · 10% owner Sonsini Peter W. · CIK 0001559807 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,545,307 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: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F1 · price: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F1 · derivative.exercise_date: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F1 · derivative.expiration_date: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F2 · ownership.direct: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. Read SEC document |
| February 08, 2022 Filed Feb 9, 2022 23:18 UTC | Arcellx, Inc. ACLX · Entity 15294 | PurchaseCommon Stock | 1,583,333 | $15.00 | $23,749,995.00 |
DisclosureSEC source: 0001209191-22-008192 · doc4.xml · nonDerivative · entry 2 New Enterprise Associates 15, L.P. · CIK 0001629794 · 10% owner BASKETT FOREST · CIK 0001277631 · 10% owner Florence Anthony A. Jr. · CIK 0001559827 · 10% owner Makhzoumi Mohamad · CIK 0001630226 · 10% owner NEA 15 GP, LLC · CIK 0001640033 · 10% owner NEA Partners 15, L.P. · CIK 0001640031 · 10% owner SANDELL SCOTT D · CIK 0001237289 · 10% owner Sonsini Peter W. · CIK 0001559807 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,432,762 F3 · shares: NEA 15 purchased 1,583,333 shares of Common Stock of the Issuer in connection with the Issuer's public offering. F2 · ownership.direct: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. Read SEC document |
| February 08, 2022 Filed Feb 9, 2022 23:18 UTC | Arcellx, Inc. ACLX · Entity 15294 | ConversionCommon Stock | 4,849,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-008192 · doc4.xml · nonDerivative · entry 1 New Enterprise Associates 15, L.P. · CIK 0001629794 · 10% owner BASKETT FOREST · CIK 0001277631 · 10% owner Florence Anthony A. Jr. · CIK 0001559827 · 10% owner Makhzoumi Mohamad · CIK 0001630226 · 10% owner NEA 15 GP, LLC · CIK 0001640033 · 10% owner NEA Partners 15, L.P. · CIK 0001640031 · 10% owner SANDELL SCOTT D · CIK 0001237289 · 10% owner Sonsini Peter W. · CIK 0001559807 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,849,429 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: All shares of Series A Preferred Stock, par value $0.001 per share, Series B-1 Preferred Stock, par value $0.001 per share, Series B-2 Preferred Stock, par value $0.001 per share, and Series C Preferred Stock, par value $0.001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock, and have no expiration date. F2 · ownership.direct: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. Read SEC document |
| January 31, 2022 Filed Feb 2, 2022 00:21 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | SaleClass A Common Stock | 2,082 | $14.22 | $29,597.71 |
DisclosureSEC source: 0001209191-22-006069 · doc4.xml · nonDerivative · entry 9 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 14 Disclosed balance after: 0 F15 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.1799 to $14.23, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (15) to this Form 4. F14 · ownership.nature: The Reporting Person is a member of the Board of Directors of NEA LLC, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA LLC in which the Reporting Person has no pecuniary interest. Read SEC document |
| January 28, 2022 Filed Feb 2, 2022 00:21 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | OtherClass A Common Stock | 1,952 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-006069 · doc4.xml · nonDerivative · entry 8 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 14 Disclosed balance after: 2,082 F12 · kind: New Enterprise Associates, LLC ("NEA LLC") received 1,952 shares of Class A Common Stock of the Issuer in the distribution by NEA 15 on January 28, 2022. F13 · balance_after: Includes 65 shares of Class A Common Stock of the Issuer received by NEA LLC in a distribution by NEA 15 on October 27, 2021 and 65 shares of Class A Common Stock of the Issuer received by NEA LLC in a distribution by NEA 15 on November 10, 2021 and in each case not previously reported. F14 · ownership.nature: The Reporting Person is a member of the Board of Directors of NEA LLC, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA LLC in which the Reporting Person has no pecuniary interest. Read SEC document |
| January 28, 2022 Filed Feb 2, 2022 00:21 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | OtherClass A Common Stock | 3,288 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-006069 · doc4.xml · nonDerivative · entry 7 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,288 F11 · kind: The Reporting Person received 3,288 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 15 on January 28, 2022. Read SEC document |
| January 28, 2022 Filed Feb 2, 2022 00:21 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | OtherClass A Common Stock | 52,175 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-006069 · doc4.xml · nonDerivative · entry 6 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 9 Disclosed balance after: 0 F10 · kind: NEA Partners 17 made a distribution for no consideration of an aggregate of 52,175 shares of Class A Common Stock of the Issuer to a limited partner on January 28, 2022. F9 · ownership.nature: The Reporting Person is a manager of NEA 17 GP, which is the sole general partner of NEA Partners 17, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 17 in which the Reporting Person has no pecuniary interest. Read SEC document |
| January 28, 2022 Filed Feb 2, 2022 00:21 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | OtherClass A Common Stock | 30,431 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-006069 · doc4.xml · nonDerivative · entry 5 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 9 Disclosed balance after: 52,175 F8 · kind: NEA Partners 17 received 30,431 shares of Class A Common Stock of the Issuer in the distribution by NEA 17 on January 28, 2022. F9 · ownership.nature: The Reporting Person is a manager of NEA 17 GP, which is the sole general partner of NEA Partners 17, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 17 in which the Reporting Person has no pecuniary interest. Read SEC document |
| January 28, 2022 Filed Feb 2, 2022 00:21 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | OtherClass A Common Stock | 2,028,736 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-006069 · doc4.xml · nonDerivative · entry 4 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 7 Disclosed balance after: 4,057,472 F6 · kind: New Enterprise Associates 17, L.P. ("NEA 17") made a pro rata distribution for no consideration of an aggregate of 2,028,736 shares of Class A Common Stock of the Issuer to its general partner and limited partners on January 28, 2022. F7 · ownership.nature: The Reporting Person is a manager of NEA 17 GP, LLC ("NEA 17 GP"), which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of NEA 17, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Read SEC document |
| January 28, 2022 Filed Feb 2, 2022 00:21 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | OtherClass A Common Stock | 348,657 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-006069 · doc4.xml · nonDerivative · entry 3 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 4 Disclosed balance after: 0 F5 · kind: NEA Partners 15 made a pro rata distribution for no consideration of an aggregate of 348,657 shares of Class A Common Stock of the Issuer to its limited partners on January 28, 2022. F4 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| January 28, 2022 Filed Feb 2, 2022 00:21 UTC | Robinhood Markets, Inc. HOOD · Entity 584 | OtherClass A Common Stock | 326,913 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-006069 · doc4.xml · nonDerivative · entry 2 Makhzoumi Mohamad · CIK 0001630226 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 4 Disclosed balance after: 348,657 F3 · kind: NEA Partners 15 received 326,913 shares of Class A Common Stock of the Issuer in the distribution by NEA 15 on January 28, 2022. F4 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.