TapewireFind a company

person · Reporting owner

GORDON CARL L

Disclosed activity across 23 companies

Tapewire entity
24161
SEC CIK
0001282930

Export transaction history ↓

Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ADARx Pharmaceuticals, Inc.ADRX · Entity 183937Director · 10% ownerSeptember 28, 2026September 30, 2026
Adicet Bio, Inc.ACET · Entity 6860Director · 10% ownerAugust 21, 2024August 23, 2024
Alector, Inc.ALEC · Entity 6051Director · 10% ownerMay 10, 2019May 14, 2019
ArriVent BioPharma, Inc.AVBP · Entity 4699Director · 10% ownerJanuary 30, 2024January 31, 2024
BlossomHill Therapeutics, Inc.BLSM · Entity 5423DirectorAugust 10, 2026August 12, 2026
Compass Therapeutics, Inc.CMPX · Entity 5614DirectorJanuary 02, 2026January 05, 2026
Disc Medicine, Inc.GMTX · Entity 2273Director · 10% ownerOctober 04, 2021October 06, 2021
Electra Therapeutics, Inc.ETRA · Entity 9265Director · 10% ownerSeptember 21, 2026September 23, 2026
Intellia Therapeutics, Inc.NTLA · Entity 4585DirectorMay 18, 2017May 19, 2017
Keros Therapeutics, Inc.KROS · Entity 6242DirectorNovember 21, 2025December 18, 2025
Lomond Therapeutics Holdings, Inc.NONE · Entity 86303DirectorNovember 01, 2024November 05, 2024
MBX Biosciences, Inc.MBX · Entity 4247Director · 10% ownerFebruary 14, 2025February 19, 2025
Oric Pharmaceuticals, Inc.ORIC · Entity 4765Director · 10% ownerJune 16, 2021June 17, 2021
Scribe Therapeutics, Inc.SCTX · Entity 5494DirectorJuly 23, 2026July 29, 2026
SpringWorks Therapeutics, Inc.SWTX · Entity 15910Director · 10% ownerSeptember 12, 2019September 12, 2019
Terns Pharmaceuticals, Inc.TERN · Entity 49595Director · 10% ownerJuly 15, 2024July 18, 2024
Tessera Defense & Homeland Security Inc.PHGE · Entity 838410% ownerMay 15, 2024May 20, 2024
Turning Point Therapeutics, Inc.TPTX · Entity 124461DirectorJune 15, 2020June 17, 2020
X4 Pharmaceuticals, IncASNS · Entity 5638DirectorJune 05, 2018June 07, 2018

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

ADARx Pharmaceuticals, Inc.

Report date September 28, 2026 · Filed September 30, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes10,690,530 Reported balance After 2026-09-28 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2026-09-28 · Conversion · Acquired 10,690,530 · Balance 10,690,530

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes12,691,492 Reported balance After 2026-09-28 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2026-09-28 · Conversion · Acquired 2,000,962 · Balance 12,691,492

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes13,461,093 Reported balance After 2026-09-28 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2026-09-28 · Conversion · Acquired 769,601 · Balance 13,461,093

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes14,025,280 Reported balance After 2026-09-28 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2026-09-28 · Conversion · Acquired 564,187 · Balance 14,025,280

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes14,325,529 Reported balance After 2026-09-28 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2026-09-28 · Purchase · Acquired 300,249 · Balance 14,325,529

F2: Reflects shares of the Issuer's Common Stock purchased in the Issuer's initial public offering.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes7,127,019 Reported balance After 2026-09-28 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2026-09-28 · Conversion · Acquired 7,127,019 · Balance 7,127,019

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F4: These securities are held directly by OrbiMed Israel Partners II, L.P. ("OIP II"). OrbiMed Israel GP II, L.P. ("Israel GP") is the general partner of OIP II. OrbiMed Advisors Israel II Limited ("Advisors Israel") is the general partner of Israel GP. By virtue of such relationships, Israel GP and Advisors Israel may be deemed to have voting power and investment power over the securities held by OIP II and as a result, may be deemed to have beneficial ownership over such securities. Advisors Israel exercises this investment and voting power through a management committee comprised of the Reporting Person, David P. Bonita, and Erez Chimovits, each of whom disclaims beneficial ownership of the shares held by OIP II.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes8,460,994 Reported balance After 2026-09-28 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 7 · 2026-09-28 · Conversion · Acquired 1,333,975 · Balance 8,460,994

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F4: These securities are held directly by OrbiMed Israel Partners II, L.P. ("OIP II"). OrbiMed Israel GP II, L.P. ("Israel GP") is the general partner of OIP II. OrbiMed Advisors Israel II Limited ("Advisors Israel") is the general partner of Israel GP. By virtue of such relationships, Israel GP and Advisors Israel may be deemed to have voting power and investment power over the securities held by OIP II and as a result, may be deemed to have beneficial ownership over such securities. Advisors Israel exercises this investment and voting power through a management committee comprised of the Reporting Person, David P. Bonita, and Erez Chimovits, each of whom disclaims beneficial ownership of the shares held by OIP II.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes8,974,061 Reported balance After 2026-09-28 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 8 · 2026-09-28 · Conversion · Acquired 513,067 · Balance 8,974,061

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F4: These securities are held directly by OrbiMed Israel Partners II, L.P. ("OIP II"). OrbiMed Israel GP II, L.P. ("Israel GP") is the general partner of OIP II. OrbiMed Advisors Israel II Limited ("Advisors Israel") is the general partner of Israel GP. By virtue of such relationships, Israel GP and Advisors Israel may be deemed to have voting power and investment power over the securities held by OIP II and as a result, may be deemed to have beneficial ownership over such securities. Advisors Israel exercises this investment and voting power through a management committee comprised of the Reporting Person, David P. Bonita, and Erez Chimovits, each of whom disclaims beneficial ownership of the shares held by OIP II.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes9,230,509 Reported balance After 2026-09-28 transaction · row 9 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 9 · 2026-09-28 · Conversion · Acquired 256,448 · Balance 9,230,509

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F4: These securities are held directly by OrbiMed Israel Partners II, L.P. ("OIP II"). OrbiMed Israel GP II, L.P. ("Israel GP") is the general partner of OIP II. OrbiMed Advisors Israel II Limited ("Advisors Israel") is the general partner of Israel GP. By virtue of such relationships, Israel GP and Advisors Israel may be deemed to have voting power and investment power over the securities held by OIP II and as a result, may be deemed to have beneficial ownership over such securities. Advisors Israel exercises this investment and voting power through a management committee comprised of the Reporting Person, David P. Bonita, and Erez Chimovits, each of whom disclaims beneficial ownership of the shares held by OIP II.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes9,292,025 Reported balance After 2026-09-28 transaction · row 10 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 10 · 2026-09-28 · Purchase · Acquired 61,516 · Balance 9,292,025

F2: Reflects shares of the Issuer's Common Stock purchased in the Issuer's initial public offering.

F4: These securities are held directly by OrbiMed Israel Partners II, L.P. ("OIP II"). OrbiMed Israel GP II, L.P. ("Israel GP") is the general partner of OIP II. OrbiMed Advisors Israel II Limited ("Advisors Israel") is the general partner of Israel GP. By virtue of such relationships, Israel GP and Advisors Israel may be deemed to have voting power and investment power over the securities held by OIP II and as a result, may be deemed to have beneficial ownership over such securities. Advisors Israel exercises this investment and voting power through a management committee comprised of the Reporting Person, David P. Bonita, and Erez Chimovits, each of whom disclaims beneficial ownership of the shares held by OIP II.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes588,235 Reported balance After 2026-09-28 transaction · row 11 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 11 · 2026-09-28 · Purchase · Acquired 588,235 · Balance 588,235

F2: Reflects shares of the Issuer's Common Stock purchased in the Issuer's initial public offering.

F5: These securities are held directly by OrbiMed Genesis Master Fund, L.P. ("OrbiMed Genesis"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of OrbiMed Genesis. OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, Genesis GP and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OrbiMed Genesis and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OrbiMed Genesis.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2026-09-28 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2026-09-28 · Conversion · Disposed 10,690,530 · Balance 0

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2026-09-28 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · 2026-09-28 · Conversion · Disposed 7,127,019 · Balance 0

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F4: These securities are held directly by OrbiMed Israel Partners II, L.P. ("OIP II"). OrbiMed Israel GP II, L.P. ("Israel GP") is the general partner of OIP II. OrbiMed Advisors Israel II Limited ("Advisors Israel") is the general partner of Israel GP. By virtue of such relationships, Israel GP and Advisors Israel may be deemed to have voting power and investment power over the securities held by OIP II and as a result, may be deemed to have beneficial ownership over such securities. Advisors Israel exercises this investment and voting power through a management committee comprised of the Reporting Person, David P. Bonita, and Erez Chimovits, each of whom disclaims beneficial ownership of the shares held by OIP II.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2026-09-28 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2026-09-28 · Conversion · Disposed 2,000,962 · Balance 0

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2026-09-28 transaction · row 17 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 17 · 2026-09-28 · Conversion · Disposed 1,333,975 · Balance 0

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F4: These securities are held directly by OrbiMed Israel Partners II, L.P. ("OIP II"). OrbiMed Israel GP II, L.P. ("Israel GP") is the general partner of OIP II. OrbiMed Advisors Israel II Limited ("Advisors Israel") is the general partner of Israel GP. By virtue of such relationships, Israel GP and Advisors Israel may be deemed to have voting power and investment power over the securities held by OIP II and as a result, may be deemed to have beneficial ownership over such securities. Advisors Israel exercises this investment and voting power through a management committee comprised of the Reporting Person, David P. Bonita, and Erez Chimovits, each of whom disclaims beneficial ownership of the shares held by OIP II.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series B-1 Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2026-09-28 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2026-09-28 · Conversion · Disposed 769,601 · Balance 0

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series B-1 Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2026-09-28 transaction · row 18 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 18 · 2026-09-28 · Conversion · Disposed 513,067 · Balance 0

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F4: These securities are held directly by OrbiMed Israel Partners II, L.P. ("OIP II"). OrbiMed Israel GP II, L.P. ("Israel GP") is the general partner of OIP II. OrbiMed Advisors Israel II Limited ("Advisors Israel") is the general partner of Israel GP. By virtue of such relationships, Israel GP and Advisors Israel may be deemed to have voting power and investment power over the securities held by OIP II and as a result, may be deemed to have beneficial ownership over such securities. Advisors Israel exercises this investment and voting power through a management committee comprised of the Reporting Person, David P. Bonita, and Erez Chimovits, each of whom disclaims beneficial ownership of the shares held by OIP II.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2026-09-28 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2026-09-28 · Conversion · Disposed 564,187 · Balance 0

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2026-09-28 transaction · row 19 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 19 · 2026-09-28 · Conversion · Disposed 256,448 · Balance 0

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F4: These securities are held directly by OrbiMed Israel Partners II, L.P. ("OIP II"). OrbiMed Israel GP II, L.P. ("Israel GP") is the general partner of OIP II. OrbiMed Advisors Israel II Limited ("Advisors Israel") is the general partner of Israel GP. By virtue of such relationships, Israel GP and Advisors Israel may be deemed to have voting power and investment power over the securities held by OIP II and as a result, may be deemed to have beneficial ownership over such securities. Advisors Israel exercises this investment and voting power through a management committee comprised of the Reporting Person, David P. Bonita, and Erez Chimovits, each of whom disclaims beneficial ownership of the shares held by OIP II.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series B-1 Preferred Stock, and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F2: Reflects shares of the Issuer's Common Stock purchased in the Issuer's initial public offering.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F4: These securities are held directly by OrbiMed Israel Partners II, L.P. ("OIP II"). OrbiMed Israel GP II, L.P. ("Israel GP") is the general partner of OIP II. OrbiMed Advisors Israel II Limited ("Advisors Israel") is the general partner of Israel GP. By virtue of such relationships, Israel GP and Advisors Israel may be deemed to have voting power and investment power over the securities held by OIP II and as a result, may be deemed to have beneficial ownership over such securities. Advisors Israel exercises this investment and voting power through a management committee comprised of the Reporting Person, David P. Bonita, and Erez Chimovits, each of whom disclaims beneficial ownership of the shares held by OIP II.

F5: These securities are held directly by OrbiMed Genesis Master Fund, L.P. ("OrbiMed Genesis"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of OrbiMed Genesis. OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, Genesis GP and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OrbiMed Genesis and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OrbiMed Genesis.

F6: Each of the Reporting Person, OrbiMed Advisors, GP VII, Israel GP, Advisors Israel, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Adicet Bio, Inc.

Report date August 21, 2024 · Filed August 23, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.14 · Expires 2030-09-16Direct0 Reported balance After 2024-08-21 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2024-08-21 · Disposition to issuer · Disposed 30,000 · Balance 0

F1: Effective August 21, 2024, the Issuer's Board of Directors approved a rescission of the August 2023 stock option repricing for certain non-employee directors of the Issuer. All of the affected stock options have been reverted to their original exercise price as established at the time of the grant. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F2: The shares subject to this option are fully vested and exercisable as of the date hereof.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.11 · Expires 2030-09-16Direct30,000 Reported balance After 2024-08-21 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2024-08-21 · Grant · Acquired 30,000 · Balance 30,000

F1: Effective August 21, 2024, the Issuer's Board of Directors approved a rescission of the August 2023 stock option repricing for certain non-employee directors of the Issuer. All of the affected stock options have been reverted to their original exercise price as established at the time of the grant. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F2: The shares subject to this option are fully vested and exercisable as of the date hereof.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.14 · Expires 2031-04-29Direct0 Reported balance After 2024-08-21 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2024-08-21 · Disposition to issuer · Disposed 18,500 · Balance 0

F1: Effective August 21, 2024, the Issuer's Board of Directors approved a rescission of the August 2023 stock option repricing for certain non-employee directors of the Issuer. All of the affected stock options have been reverted to their original exercise price as established at the time of the grant. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F2: The shares subject to this option are fully vested and exercisable as of the date hereof.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.93 · Expires 2031-04-29Direct18,500 Reported balance After 2024-08-21 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2024-08-21 · Grant · Acquired 18,500 · Balance 18,500

F1: Effective August 21, 2024, the Issuer's Board of Directors approved a rescission of the August 2023 stock option repricing for certain non-employee directors of the Issuer. All of the affected stock options have been reverted to their original exercise price as established at the time of the grant. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F2: The shares subject to this option are fully vested and exercisable as of the date hereof.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.14 · Expires 2032-06-01Direct0 Reported balance After 2024-08-21 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2024-08-21 · Disposition to issuer · Disposed 18,500 · Balance 0

F1: Effective August 21, 2024, the Issuer's Board of Directors approved a rescission of the August 2023 stock option repricing for certain non-employee directors of the Issuer. All of the affected stock options have been reverted to their original exercise price as established at the time of the grant. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F2: The shares subject to this option are fully vested and exercisable as of the date hereof.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.49 · Expires 2032-06-01Direct18,500 Reported balance After 2024-08-21 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2024-08-21 · Grant · Acquired 18,500 · Balance 18,500

F1: Effective August 21, 2024, the Issuer's Board of Directors approved a rescission of the August 2023 stock option repricing for certain non-employee directors of the Issuer. All of the affected stock options have been reverted to their original exercise price as established at the time of the grant. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F2: The shares subject to this option are fully vested and exercisable as of the date hereof.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.14 · Expires 2033-05-31Direct0 Reported balance After 2024-08-21 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2024-08-21 · Disposition to issuer · Disposed 26,400 · Balance 0

F1: Effective August 21, 2024, the Issuer's Board of Directors approved a rescission of the August 2023 stock option repricing for certain non-employee directors of the Issuer. All of the affected stock options have been reverted to their original exercise price as established at the time of the grant. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F2: The shares subject to this option are fully vested and exercisable as of the date hereof.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.20 · Expires 2033-05-31Direct26,400 Reported balance After 2024-08-21 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2024-08-21 · Grant · Acquired 26,400 · Balance 26,400

F1: Effective August 21, 2024, the Issuer's Board of Directors approved a rescission of the August 2023 stock option repricing for certain non-employee directors of the Issuer. All of the affected stock options have been reverted to their original exercise price as established at the time of the grant. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F2: The shares subject to this option are fully vested and exercisable as of the date hereof.

Filing footnotes · ownership attribution and instrument terms

F1: Effective August 21, 2024, the Issuer's Board of Directors approved a rescission of the August 2023 stock option repricing for certain non-employee directors of the Issuer. All of the affected stock options have been reverted to their original exercise price as established at the time of the grant. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F2: The shares subject to this option are fully vested and exercisable as of the date hereof.

Alector, Inc.

Report date May 10, 2019 · Filed May 14, 2019

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.05 · Expires 2029-05-09Direct20,000 Reported balance After 2019-05-10 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2019-05-10 · Grant · Acquired 20,000 · Balance 20,000

F1: One twelfth (1/12th) of the shares subject to the option shall vest each month after the date of grant, provided that the option will vest in full on the earlier of (i) the twelve (12) month anniversary of the date of grant, or (ii) the date of the next regularly scheduled annual meeting of the Issuer's stockholders, in each case subject to the Reporting Person continuing to be a service provider through each applicable vesting date. The shares subject to the option will become fully vested and exercisable immediately prior to a change in control, subject to the Reporting Person continuing to be a service provider.

Filing footnotes · ownership attribution and instrument terms

F1: One twelfth (1/12th) of the shares subject to the option shall vest each month after the date of grant, provided that the option will vest in full on the earlier of (i) the twelve (12) month anniversary of the date of grant, or (ii) the date of the next regularly scheduled annual meeting of the Issuer's stockholders, in each case subject to the Reporting Person continuing to be a service provider through each applicable vesting date. The shares subject to the option will become fully vested and exercisable immediately prior to a change in control, subject to the Reporting Person continuing to be a service provider.

ArriVent BioPharma, Inc.

Report date January 30, 2024 · Filed January 31, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes821,827 Reported balance After 2024-01-30 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2024-01-30 · Conversion · Acquired 821,827 · Balance 821,827

F1: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F2: These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP IV") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP IV. OrbiMed Advisors LLC ("OrbiMed Advisors") is the advisory company of OAP IV. By virtue of such relationships, Asia GP IV, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OAP IV.

F4: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes821,827 Reported balance After 2024-01-30 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2024-01-30 · Conversion · Acquired 821,827 · Balance 821,827

F1: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F3: These securities are held of record by OrbiMed Private Investments VIII, L.P. ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes1,291,442 Reported balance After 2024-01-30 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2024-01-30 · Conversion · Acquired 469,615 · Balance 1,291,442

F1: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F2: These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP IV") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP IV. OrbiMed Advisors LLC ("OrbiMed Advisors") is the advisory company of OAP IV. By virtue of such relationships, Asia GP IV, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OAP IV.

F4: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes1,291,442 Reported balance After 2024-01-30 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2024-01-30 · Conversion · Acquired 469,615 · Balance 1,291,442

F1: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F3: These securities are held of record by OrbiMed Private Investments VIII, L.P. ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes1,513,664 Reported balance After 2024-01-30 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2024-01-30 · Purchase · Acquired 222,222 · Balance 1,513,664

F5: Reflects shares purchased in the Issuer's initial public offering.

F2: These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP IV") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP IV. OrbiMed Advisors LLC ("OrbiMed Advisors") is the advisory company of OAP IV. By virtue of such relationships, Asia GP IV, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OAP IV.

F4: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes1,513,664 Reported balance After 2024-01-30 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2024-01-30 · Purchase · Acquired 222,222 · Balance 1,513,664

F5: Reflects shares purchased in the Issuer's initial public offering.

F3: These securities are held of record by OrbiMed Private Investments VIII, L.P. ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2024-01-30 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2024-01-30 · Conversion · Disposed 821,827 · Balance 0

F1: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F6: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.

F2: These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP IV") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP IV. OrbiMed Advisors LLC ("OrbiMed Advisors") is the advisory company of OAP IV. By virtue of such relationships, Asia GP IV, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OAP IV.

F4: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2024-01-30 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2024-01-30 · Conversion · Disposed 821,827 · Balance 0

F1: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F6: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.

F3: These securities are held of record by OrbiMed Private Investments VIII, L.P. ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2024-01-30 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2024-01-30 · Conversion · Disposed 469,615 · Balance 0

F1: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F6: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.

F2: These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP IV") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP IV. OrbiMed Advisors LLC ("OrbiMed Advisors") is the advisory company of OAP IV. By virtue of such relationships, Asia GP IV, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OAP IV.

F4: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2024-01-30 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2024-01-30 · Conversion · Disposed 469,615 · Balance 0

F1: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F6: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.

F3: These securities are held of record by OrbiMed Private Investments VIII, L.P. ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F2: These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP IV") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP IV. OrbiMed Advisors LLC ("OrbiMed Advisors") is the advisory company of OAP IV. By virtue of such relationships, Asia GP IV, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OAP IV.

F3: These securities are held of record by OrbiMed Private Investments VIII, L.P. ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

F5: Reflects shares purchased in the Issuer's initial public offering.

F6: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.

BlossomHill Therapeutics, Inc.

Report date August 10, 2026 · Filed August 12, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes2,714,279 Last balance in matching sequence After 2026-08-10 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2026-08-10 · Conversion · Acquired 1,039,996 · Balance 1,039,996

F1: Each share of Series A Preferred Stock and Series B Preferred Stock (together, the "Preferred Stock") automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering on August 10, 2026 without payment of consideration. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VIII, LP ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VIII. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: Each of the Reporting Person, OrbiMed Advisors, and GP VIII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, OrbiMed Advisors, or GP VIII is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Row 2 · 2026-08-10 · Conversion · Acquired 1,049,283 · Balance 2,089,279

F1: Each share of Series A Preferred Stock and Series B Preferred Stock (together, the "Preferred Stock") automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering on August 10, 2026 without payment of consideration. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VIII, LP ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VIII. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: Each of the Reporting Person, OrbiMed Advisors, and GP VIII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, OrbiMed Advisors, or GP VIII is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Row 3 · 2026-08-10 · Purchase · Acquired 625,000 · Balance 2,714,279

F2: Reflects shares of the Issuer's Common Stock purchased in the Issuer's initial public offering.

F3: These securities are held directly by OrbiMed Private Investments VIII, LP ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VIII. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: Each of the Reporting Person, OrbiMed Advisors, and GP VIII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, OrbiMed Advisors, or GP VIII is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2026-08-10 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2026-08-10 · Conversion · Disposed 1,039,996 · Balance 0

F1: Each share of Series A Preferred Stock and Series B Preferred Stock (together, the "Preferred Stock") automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering on August 10, 2026 without payment of consideration. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VIII, LP ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VIII. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: Each of the Reporting Person, OrbiMed Advisors, and GP VIII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, OrbiMed Advisors, or GP VIII is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2026-08-10 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2026-08-10 · Conversion · Disposed 1,049,283 · Balance 0

F1: Each share of Series A Preferred Stock and Series B Preferred Stock (together, the "Preferred Stock") automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering on August 10, 2026 without payment of consideration. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VIII, LP ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VIII. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: Each of the Reporting Person, OrbiMed Advisors, and GP VIII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, OrbiMed Advisors, or GP VIII is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series A Preferred Stock and Series B Preferred Stock (together, the "Preferred Stock") automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering on August 10, 2026 without payment of consideration. The Preferred Stock has no expiration date.

F2: Reflects shares of the Issuer's Common Stock purchased in the Issuer's initial public offering.

F3: These securities are held directly by OrbiMed Private Investments VIII, LP ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VIII. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: Each of the Reporting Person, OrbiMed Advisors, and GP VIII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, OrbiMed Advisors, or GP VIII is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Compass Therapeutics, Inc.

Report date January 02, 2026 · Filed January 05, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.17 · Expires 2036-01-02Direct90,000 Reported balance After 2026-01-02 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2026-01-02 · Grant · Acquired 90,000 · Balance 90,000

F1: This grant vests in full upon the earlier of (i) June 10, 2026 or (ii) the date of the next annual meeting of the Company's stockholders.

F2: The Reporting Person is a member of OrbiMed Advisors LLC ("OrbiMed Advisors"). Pursuant to an agreement with OrbiMed Advisors, the Reporting Person is obligated to transfer any securities issued under any stock options or other awards, or the economic benefit thereof, to OrbiMed Advisors and OrbiMed Capital GP V LLC, which will in turn ensure that such securities or economic benefits are provided to OrbiMed Private Investments V-KA, LP.

Filing footnotes · ownership attribution and instrument terms

F1: This grant vests in full upon the earlier of (i) June 10, 2026 or (ii) the date of the next annual meeting of the Company's stockholders.

F2: The Reporting Person is a member of OrbiMed Advisors LLC ("OrbiMed Advisors"). Pursuant to an agreement with OrbiMed Advisors, the Reporting Person is obligated to transfer any securities issued under any stock options or other awards, or the economic benefit thereof, to OrbiMed Advisors and OrbiMed Capital GP V LLC, which will in turn ensure that such securities or economic benefits are provided to OrbiMed Private Investments V-KA, LP.

Disc Medicine, Inc.

Report date October 04, 2021 · Filed October 06, 2021

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.80 · Expires 2031-10-03Direct17,245 Reported balance After 2021-10-04 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2021-10-04 · Grant · Acquired 17,245 · Balance 17,245

F1: This option shall vest and become exercisable on the earlier of (a) the one (1)-year anniversary of the Grant Date and (b) the Company's next annual meeting of stockholders, in each case, so long as the Optionee continues to have a Service Relationship with the Company on such date.

F2: Pursuant to an agreement with OrbiMed Advisors LLC and OrbiMed Capital GP VI LLC, the Reporting Person is obligated to transfer any securities issued under any stock options or other awards, or the economic benefit thereof, to OrbiMed Advisors LLC and OrbiMed Capital GP VI LLC, which will in turn ensure that such securities or economic benefits are provided to OrbiMed Private Investments VI, LP.

Filing footnotes · ownership attribution and instrument terms

F1: This option shall vest and become exercisable on the earlier of (a) the one (1)-year anniversary of the Grant Date and (b) the Company's next annual meeting of stockholders, in each case, so long as the Optionee continues to have a Service Relationship with the Company on such date.

F2: Pursuant to an agreement with OrbiMed Advisors LLC and OrbiMed Capital GP VI LLC, the Reporting Person is obligated to transfer any securities issued under any stock options or other awards, or the economic benefit thereof, to OrbiMed Advisors LLC and OrbiMed Capital GP VI LLC, which will in turn ensure that such securities or economic benefits are provided to OrbiMed Private Investments VI, LP.

Electra Therapeutics, Inc.

Report date September 21, 2026 · Filed September 23, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes2,002,310 Reported balance After 2026-09-21 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2026-09-21 · Conversion · Acquired 2,002,310 · Balance 2,002,310

F1: Each share of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering on September 21, 2026 without payment of further consideration. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F5: Each of the Reporting Person, OrbiMed Advisors, GP VII and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes3,090,244 Reported balance After 2026-09-21 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2026-09-21 · Conversion · Acquired 1,087,934 · Balance 3,090,244

F1: Each share of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering on September 21, 2026 without payment of further consideration. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F5: Each of the Reporting Person, OrbiMed Advisors, GP VII and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes4,793,558 Reported balance After 2026-09-21 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2026-09-21 · Conversion · Acquired 1,703,314 · Balance 4,793,558

F1: Each share of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering on September 21, 2026 without payment of further consideration. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F5: Each of the Reporting Person, OrbiMed Advisors, GP VII and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes5,126,891 Reported balance After 2026-09-21 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2026-09-21 · Purchase · Acquired 333,333 · Balance 5,126,891

F2: Reflects shares of the Issuer's Common Stock purchased in the Issuer's initial public offering.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F5: Each of the Reporting Person, OrbiMed Advisors, GP VII and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes758,279 Reported balance After 2026-09-21 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2026-09-21 · Conversion · Acquired 758,279 · Balance 758,279

F1: Each share of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering on September 21, 2026 without payment of further consideration. The Preferred Stock has no expiration date.

F4: These securities are held directly by OrbiMed Genesis Master Fund, L.P. ("OrbiMed Genesis"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of OrbiMed Genesis. OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, Genesis GP and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OrbiMed Genesis and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OrbiMed Genesis.

F5: Each of the Reporting Person, OrbiMed Advisors, GP VII and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes1,758,279 Reported balance After 2026-09-21 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2026-09-21 · Purchase · Acquired 1,000,000 · Balance 1,758,279

F2: Reflects shares of the Issuer's Common Stock purchased in the Issuer's initial public offering.

F4: These securities are held directly by OrbiMed Genesis Master Fund, L.P. ("OrbiMed Genesis"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of OrbiMed Genesis. OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, Genesis GP and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OrbiMed Genesis and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OrbiMed Genesis.

F5: Each of the Reporting Person, OrbiMed Advisors, GP VII and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series A Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2026-09-21 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2026-09-21 · Conversion · Disposed 2,002,310 · Balance 0

F1: Each share of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering on September 21, 2026 without payment of further consideration. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F5: Each of the Reporting Person, OrbiMed Advisors, GP VII and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series B Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2026-09-21 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2026-09-21 · Conversion · Disposed 1,087,934 · Balance 0

F1: Each share of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering on September 21, 2026 without payment of further consideration. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F5: Each of the Reporting Person, OrbiMed Advisors, GP VII and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series C Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2026-09-21 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2026-09-21 · Conversion · Disposed 1,703,314 · Balance 0

F1: Each share of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering on September 21, 2026 without payment of further consideration. The Preferred Stock has no expiration date.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F5: Each of the Reporting Person, OrbiMed Advisors, GP VII and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series C Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2026-09-21 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2026-09-21 · Conversion · Disposed 758,279 · Balance 0

F1: Each share of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering on September 21, 2026 without payment of further consideration. The Preferred Stock has no expiration date.

F4: These securities are held directly by OrbiMed Genesis Master Fund, L.P. ("OrbiMed Genesis"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of OrbiMed Genesis. OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, Genesis GP and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OrbiMed Genesis and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OrbiMed Genesis.

F5: Each of the Reporting Person, OrbiMed Advisors, GP VII and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering on September 21, 2026 without payment of further consideration. The Preferred Stock has no expiration date.

F2: Reflects shares of the Issuer's Common Stock purchased in the Issuer's initial public offering.

F3: These securities are held directly by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F4: These securities are held directly by OrbiMed Genesis Master Fund, L.P. ("OrbiMed Genesis"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of OrbiMed Genesis. OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, Genesis GP and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OrbiMed Genesis and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OrbiMed Genesis.

F5: Each of the Reporting Person, OrbiMed Advisors, GP VII and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Intellia Therapeutics, Inc.

Report date May 18, 2017 · Filed May 19, 2017

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.35 · Expires 2027-05-17Direct19,000 Reported balance After 2017-05-18 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2017-05-18 · Grant · Acquired 19,000 · Balance 19,000

F1: This option was granted on May 18, 2017 with respect to 19,000 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

F2: The Reporting Person is a member of OrbiMed Advisors LLC ("Advisors") and is obligated to transfer any shares issued pursuant to any equity grants made to him by the Issuer, or the economic benefits thereof, to Advisors for the ultimate benefit of OrbiMed Private Investments V, LP and OrbiMed Global Healthcare Master Fund, LP. As such, the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: This option was granted on May 18, 2017 with respect to 19,000 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

F2: The Reporting Person is a member of OrbiMed Advisors LLC ("Advisors") and is obligated to transfer any shares issued pursuant to any equity grants made to him by the Issuer, or the economic benefits thereof, to Advisors for the ultimate benefit of OrbiMed Private Investments V, LP and OrbiMed Global Healthcare Master Fund, LP. As such, the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Keros Therapeutics, Inc.

Report date November 21, 2025 · Filed December 18, 2025

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes759,155 Reported balance After 2025-11-21 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-11-21 · Disposition to issuer · Disposed 140,057 · Balance 759,155

F1: Disposed of in connection with the Issuer's completion of a cash tender offer.

F2: These securities are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("OrbiMed GP") is the general partner of OPI VII and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F4: Each of the Reporting Person, OrbiMed Advisors, OrbiMed GP, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes45,057 Reported balance After 2025-11-21 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2025-11-21 · Disposition to issuer · Disposed 74,465 · Balance 45,057

F1: Disposed of in connection with the Issuer's completion of a cash tender offer.

F3: These securities are held of record by OrbiMed Genesis Master Fund, L.P. ("Genesis"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of Genesis and OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, Genesis GP and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by Genesis and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by Genesis.

F4: Each of the Reporting Person, OrbiMed Advisors, OrbiMed GP, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of in connection with the Issuer's completion of a cash tender offer.

F2: These securities are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("OrbiMed GP") is the general partner of OPI VII and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F3: These securities are held of record by OrbiMed Genesis Master Fund, L.P. ("Genesis"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of Genesis and OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, Genesis GP and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by Genesis and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by Genesis.

F4: Each of the Reporting Person, OrbiMed Advisors, OrbiMed GP, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Lomond Therapeutics Holdings, Inc.

Report date November 01, 2024 · Filed November 05, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote323,916 Reported balance After 2024-11-01 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2024-11-01 · Conversion · Acquired 323,916 · Balance 323,916

F1: On November 1, 2024, the Issuer closed the transactions contemplated by the Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of November 1, 2024, by and among Venetian-1 Acquisition Corp., a Delaware corporation (the "Parent"), Lomond Acquisition Corp., a Delaware corporation (the "Acquisition Subsidiary"), and Lomond Therapeutics, Inc. ("Legacy Lomond") (the "Merger"), pursuant to which, upon consummation of the Merger, all of the outstanding shares Legacy Lomond common stock were converted into shares of the Issuer's Common Stock on a 1:1 basis pursuant to the terms of the Merger Agreement (the "Merger"). Immediately following the closing of the Merger, the Issuer completed a private placement financing (the "Offering").

F2: These shares are held of record by OrbiMed Private Investments VII, LP ("OPI VII") issued upon the conversion of an outstanding simple agreement for future equity ("SAFE") in the amount of $1,036,534.25, which converted upon the closing of the Merger and the Offering at 80% of the per share price in the Offering and had no expiration date. OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, OrbiMed Advisors and GP VII may be deemed to have voting and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F10: Each of OrbiMed Advisors, GP VII, GP VIII, GP IX, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee Footnote539,062 Reported balance After 2024-11-01 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2024-11-01 · Conversion · Acquired 215,146 · Balance 539,062

F1: On November 1, 2024, the Issuer closed the transactions contemplated by the Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of November 1, 2024, by and among Venetian-1 Acquisition Corp., a Delaware corporation (the "Parent"), Lomond Acquisition Corp., a Delaware corporation (the "Acquisition Subsidiary"), and Lomond Therapeutics, Inc. ("Legacy Lomond") (the "Merger"), pursuant to which, upon consummation of the Merger, all of the outstanding shares Legacy Lomond common stock were converted into shares of the Issuer's Common Stock on a 1:1 basis pursuant to the terms of the Merger Agreement (the "Merger"). Immediately following the closing of the Merger, the Issuer completed a private placement financing (the "Offering").

F3: These shares are held of record by OrbiMed Private Investments VIII, LP ("OPI VIII") issued upon the conversion of a SAFE in the amount of $688,465.75, which converted upon the closing of the Merger and the Offering at 80% of the per share price in the Offering and had no expiration date. OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII. OrbiMed Advisors is the managing member of GP VIII. By virtue of such relationships, OrbiMed Advisors and GP VIII may be deemed to have voting and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F10: Each of OrbiMed Advisors, GP VII, GP VIII, GP IX, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee Footnote928,140 Reported balance After 2024-11-01 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2024-11-01 · Conversion · Acquired 389,078 · Balance 928,140

F1: On November 1, 2024, the Issuer closed the transactions contemplated by the Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of November 1, 2024, by and among Venetian-1 Acquisition Corp., a Delaware corporation (the "Parent"), Lomond Acquisition Corp., a Delaware corporation (the "Acquisition Subsidiary"), and Lomond Therapeutics, Inc. ("Legacy Lomond") (the "Merger"), pursuant to which, upon consummation of the Merger, all of the outstanding shares Legacy Lomond common stock were converted into shares of the Issuer's Common Stock on a 1:1 basis pursuant to the terms of the Merger Agreement (the "Merger"). Immediately following the closing of the Merger, the Issuer completed a private placement financing (the "Offering").

F4: These shares are held of record by OPI VII issued upon the conversion of an outstanding SAFE in the amount $1,400,681.04, which converted upon the closing of the Merger and the Offering at 90% of the per share price in the Offering and had no expiration date.

F10: Each of OrbiMed Advisors, GP VII, GP VIII, GP IX, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee Footnote1,158,893 Reported balance After 2024-11-01 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2024-11-01 · Conversion · Acquired 230,753 · Balance 1,158,893

F1: On November 1, 2024, the Issuer closed the transactions contemplated by the Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of November 1, 2024, by and among Venetian-1 Acquisition Corp., a Delaware corporation (the "Parent"), Lomond Acquisition Corp., a Delaware corporation (the "Acquisition Subsidiary"), and Lomond Therapeutics, Inc. ("Legacy Lomond") (the "Merger"), pursuant to which, upon consummation of the Merger, all of the outstanding shares Legacy Lomond common stock were converted into shares of the Issuer's Common Stock on a 1:1 basis pursuant to the terms of the Merger Agreement (the "Merger"). Immediately following the closing of the Merger, the Issuer completed a private placement financing (the "Offering").

F5: These shares are held of record by OPI VIII issued upon the conversion of an outstanding SAFE in the amount of $830,712.12, which converted upon the closing of the Merger and the Offering at 90% of the per share price in the Offering and had no expiration date.

F10: Each of OrbiMed Advisors, GP VII, GP VIII, GP IX, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee Footnote1,233,506 Reported balance After 2024-11-01 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2024-11-01 · Conversion · Acquired 74,613 · Balance 1,233,506

F1: On November 1, 2024, the Issuer closed the transactions contemplated by the Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of November 1, 2024, by and among Venetian-1 Acquisition Corp., a Delaware corporation (the "Parent"), Lomond Acquisition Corp., a Delaware corporation (the "Acquisition Subsidiary"), and Lomond Therapeutics, Inc. ("Legacy Lomond") (the "Merger"), pursuant to which, upon consummation of the Merger, all of the outstanding shares Legacy Lomond common stock were converted into shares of the Issuer's Common Stock on a 1:1 basis pursuant to the terms of the Merger Agreement (the "Merger"). Immediately following the closing of the Merger, the Issuer completed a private placement financing (the "Offering").

F6: These shares are held of record by OrbiMed Private Investments IX, LP ("OPI IX") issued upon the conversion of an outstanding SAFE in the amount of $268,606.84, which converted upon the closing of the Merger and the Offering at 90% of the per share price in the Offering and had no expiration date. OrbiMed Capital GP IX LLC ("GP IX") is the general partner of OPI IX. OrbiMed Advisors is the managing member of GP IX. By virtue of such relationships, OrbiMed Advisors and GP IX may be deemed to have voting and investment power over the securities held by OPI IX and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI IX.

F10: Each of OrbiMed Advisors, GP VII, GP VIII, GP IX, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee Footnote2,042,400 Reported balance After 2024-11-01 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2024-11-01 · Grant · Acquired 808,894 · Balance 2,042,400

F1: On November 1, 2024, the Issuer closed the transactions contemplated by the Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of November 1, 2024, by and among Venetian-1 Acquisition Corp., a Delaware corporation (the "Parent"), Lomond Acquisition Corp., a Delaware corporation (the "Acquisition Subsidiary"), and Lomond Therapeutics, Inc. ("Legacy Lomond") (the "Merger"), pursuant to which, upon consummation of the Merger, all of the outstanding shares Legacy Lomond common stock were converted into shares of the Issuer's Common Stock on a 1:1 basis pursuant to the terms of the Merger Agreement (the "Merger"). Immediately following the closing of the Merger, the Issuer completed a private placement financing (the "Offering").

F7: These shares are held of record by OPI VII issued upon the closing of the Offering.

F10: Each of OrbiMed Advisors, GP VII, GP VIII, GP IX, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee Footnote2,522,136 Reported balance After 2024-11-01 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 7 · 2024-11-01 · Grant · Acquired 479,736 · Balance 2,522,136

F1: On November 1, 2024, the Issuer closed the transactions contemplated by the Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of November 1, 2024, by and among Venetian-1 Acquisition Corp., a Delaware corporation (the "Parent"), Lomond Acquisition Corp., a Delaware corporation (the "Acquisition Subsidiary"), and Lomond Therapeutics, Inc. ("Legacy Lomond") (the "Merger"), pursuant to which, upon consummation of the Merger, all of the outstanding shares Legacy Lomond common stock were converted into shares of the Issuer's Common Stock on a 1:1 basis pursuant to the terms of the Merger Agreement (the "Merger"). Immediately following the closing of the Merger, the Issuer completed a private placement financing (the "Offering").

F8: These shares are held of record by OPI VIII issued upon the closing of the Offering.

F10: Each of OrbiMed Advisors, GP VII, GP VIII, GP IX, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee Footnote2,677,256 Reported balance After 2024-11-01 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 8 · 2024-11-01 · Grant · Acquired 155,120 · Balance 2,677,256

F1: On November 1, 2024, the Issuer closed the transactions contemplated by the Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of November 1, 2024, by and among Venetian-1 Acquisition Corp., a Delaware corporation (the "Parent"), Lomond Acquisition Corp., a Delaware corporation (the "Acquisition Subsidiary"), and Lomond Therapeutics, Inc. ("Legacy Lomond") (the "Merger"), pursuant to which, upon consummation of the Merger, all of the outstanding shares Legacy Lomond common stock were converted into shares of the Issuer's Common Stock on a 1:1 basis pursuant to the terms of the Merger Agreement (the "Merger"). Immediately following the closing of the Merger, the Issuer completed a private placement financing (the "Offering").

F9: These shares are held of record by OPI IX issued upon the closing of the Offering.

F10: Each of OrbiMed Advisors, GP VII, GP VIII, GP IX, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Simple Agreement for Future EquitySEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2024-11-01 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2024-11-01 · Conversion · Disposed 323,916 · Balance 0

F2: These shares are held of record by OrbiMed Private Investments VII, LP ("OPI VII") issued upon the conversion of an outstanding simple agreement for future equity ("SAFE") in the amount of $1,036,534.25, which converted upon the closing of the Merger and the Offering at 80% of the per share price in the Offering and had no expiration date. OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, OrbiMed Advisors and GP VII may be deemed to have voting and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F1: On November 1, 2024, the Issuer closed the transactions contemplated by the Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of November 1, 2024, by and among Venetian-1 Acquisition Corp., a Delaware corporation (the "Parent"), Lomond Acquisition Corp., a Delaware corporation (the "Acquisition Subsidiary"), and Lomond Therapeutics, Inc. ("Legacy Lomond") (the "Merger"), pursuant to which, upon consummation of the Merger, all of the outstanding shares Legacy Lomond common stock were converted into shares of the Issuer's Common Stock on a 1:1 basis pursuant to the terms of the Merger Agreement (the "Merger"). Immediately following the closing of the Merger, the Issuer completed a private placement financing (the "Offering").

F10: Each of OrbiMed Advisors, GP VII, GP VIII, GP IX, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Simple Agreement for Future EquitySEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2024-11-01 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2024-11-01 · Conversion · Disposed 215,146 · Balance 0

F3: These shares are held of record by OrbiMed Private Investments VIII, LP ("OPI VIII") issued upon the conversion of a SAFE in the amount of $688,465.75, which converted upon the closing of the Merger and the Offering at 80% of the per share price in the Offering and had no expiration date. OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII. OrbiMed Advisors is the managing member of GP VIII. By virtue of such relationships, OrbiMed Advisors and GP VIII may be deemed to have voting and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F1: On November 1, 2024, the Issuer closed the transactions contemplated by the Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of November 1, 2024, by and among Venetian-1 Acquisition Corp., a Delaware corporation (the "Parent"), Lomond Acquisition Corp., a Delaware corporation (the "Acquisition Subsidiary"), and Lomond Therapeutics, Inc. ("Legacy Lomond") (the "Merger"), pursuant to which, upon consummation of the Merger, all of the outstanding shares Legacy Lomond common stock were converted into shares of the Issuer's Common Stock on a 1:1 basis pursuant to the terms of the Merger Agreement (the "Merger"). Immediately following the closing of the Merger, the Issuer completed a private placement financing (the "Offering").

F10: Each of OrbiMed Advisors, GP VII, GP VIII, GP IX, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Simple Agreement for Future EquitySEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2024-11-01 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2024-11-01 · Conversion · Disposed 389,078 · Balance 0

F4: These shares are held of record by OPI VII issued upon the conversion of an outstanding SAFE in the amount $1,400,681.04, which converted upon the closing of the Merger and the Offering at 90% of the per share price in the Offering and had no expiration date.

F1: On November 1, 2024, the Issuer closed the transactions contemplated by the Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of November 1, 2024, by and among Venetian-1 Acquisition Corp., a Delaware corporation (the "Parent"), Lomond Acquisition Corp., a Delaware corporation (the "Acquisition Subsidiary"), and Lomond Therapeutics, Inc. ("Legacy Lomond") (the "Merger"), pursuant to which, upon consummation of the Merger, all of the outstanding shares Legacy Lomond common stock were converted into shares of the Issuer's Common Stock on a 1:1 basis pursuant to the terms of the Merger Agreement (the "Merger"). Immediately following the closing of the Merger, the Issuer completed a private placement financing (the "Offering").

F10: Each of OrbiMed Advisors, GP VII, GP VIII, GP IX, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Simple Agreement for Future EquitySEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2024-11-01 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2024-11-01 · Conversion · Disposed 230,753 · Balance 0

F5: These shares are held of record by OPI VIII issued upon the conversion of an outstanding SAFE in the amount of $830,712.12, which converted upon the closing of the Merger and the Offering at 90% of the per share price in the Offering and had no expiration date.

F1: On November 1, 2024, the Issuer closed the transactions contemplated by the Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of November 1, 2024, by and among Venetian-1 Acquisition Corp., a Delaware corporation (the "Parent"), Lomond Acquisition Corp., a Delaware corporation (the "Acquisition Subsidiary"), and Lomond Therapeutics, Inc. ("Legacy Lomond") (the "Merger"), pursuant to which, upon consummation of the Merger, all of the outstanding shares Legacy Lomond common stock were converted into shares of the Issuer's Common Stock on a 1:1 basis pursuant to the terms of the Merger Agreement (the "Merger"). Immediately following the closing of the Merger, the Issuer completed a private placement financing (the "Offering").

F10: Each of OrbiMed Advisors, GP VII, GP VIII, GP IX, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Simple Agreement for Future EquitySEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2024-11-01 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2024-11-01 · Conversion · Disposed 74,613 · Balance 0

F6: These shares are held of record by OrbiMed Private Investments IX, LP ("OPI IX") issued upon the conversion of an outstanding SAFE in the amount of $268,606.84, which converted upon the closing of the Merger and the Offering at 90% of the per share price in the Offering and had no expiration date. OrbiMed Capital GP IX LLC ("GP IX") is the general partner of OPI IX. OrbiMed Advisors is the managing member of GP IX. By virtue of such relationships, OrbiMed Advisors and GP IX may be deemed to have voting and investment power over the securities held by OPI IX and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI IX.

F1: On November 1, 2024, the Issuer closed the transactions contemplated by the Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of November 1, 2024, by and among Venetian-1 Acquisition Corp., a Delaware corporation (the "Parent"), Lomond Acquisition Corp., a Delaware corporation (the "Acquisition Subsidiary"), and Lomond Therapeutics, Inc. ("Legacy Lomond") (the "Merger"), pursuant to which, upon consummation of the Merger, all of the outstanding shares Legacy Lomond common stock were converted into shares of the Issuer's Common Stock on a 1:1 basis pursuant to the terms of the Merger Agreement (the "Merger"). Immediately following the closing of the Merger, the Issuer completed a private placement financing (the "Offering").

F10: Each of OrbiMed Advisors, GP VII, GP VIII, GP IX, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On November 1, 2024, the Issuer closed the transactions contemplated by the Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of November 1, 2024, by and among Venetian-1 Acquisition Corp., a Delaware corporation (the "Parent"), Lomond Acquisition Corp., a Delaware corporation (the "Acquisition Subsidiary"), and Lomond Therapeutics, Inc. ("Legacy Lomond") (the "Merger"), pursuant to which, upon consummation of the Merger, all of the outstanding shares Legacy Lomond common stock were converted into shares of the Issuer's Common Stock on a 1:1 basis pursuant to the terms of the Merger Agreement (the "Merger"). Immediately following the closing of the Merger, the Issuer completed a private placement financing (the "Offering").

F2: These shares are held of record by OrbiMed Private Investments VII, LP ("OPI VII") issued upon the conversion of an outstanding simple agreement for future equity ("SAFE") in the amount of $1,036,534.25, which converted upon the closing of the Merger and the Offering at 80% of the per share price in the Offering and had no expiration date. OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, OrbiMed Advisors and GP VII may be deemed to have voting and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F3: These shares are held of record by OrbiMed Private Investments VIII, LP ("OPI VIII") issued upon the conversion of a SAFE in the amount of $688,465.75, which converted upon the closing of the Merger and the Offering at 80% of the per share price in the Offering and had no expiration date. OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII. OrbiMed Advisors is the managing member of GP VIII. By virtue of such relationships, OrbiMed Advisors and GP VIII may be deemed to have voting and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: These shares are held of record by OPI VII issued upon the conversion of an outstanding SAFE in the amount $1,400,681.04, which converted upon the closing of the Merger and the Offering at 90% of the per share price in the Offering and had no expiration date.

F5: These shares are held of record by OPI VIII issued upon the conversion of an outstanding SAFE in the amount of $830,712.12, which converted upon the closing of the Merger and the Offering at 90% of the per share price in the Offering and had no expiration date.

F6: These shares are held of record by OrbiMed Private Investments IX, LP ("OPI IX") issued upon the conversion of an outstanding SAFE in the amount of $268,606.84, which converted upon the closing of the Merger and the Offering at 90% of the per share price in the Offering and had no expiration date. OrbiMed Capital GP IX LLC ("GP IX") is the general partner of OPI IX. OrbiMed Advisors is the managing member of GP IX. By virtue of such relationships, OrbiMed Advisors and GP IX may be deemed to have voting and investment power over the securities held by OPI IX and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI IX.

F7: These shares are held of record by OPI VII issued upon the closing of the Offering.

F8: These shares are held of record by OPI VIII issued upon the closing of the Offering.

F9: These shares are held of record by OPI IX issued upon the closing of the Offering.

F10: Each of OrbiMed Advisors, GP VII, GP VIII, GP IX, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

MBX Biosciences, Inc.

Report date February 14, 2025 · Filed February 19, 2025

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes3,176,390 Reported balance After 2025-02-14 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-02-14 · Purchase · Acquired 17,962 · Balance 3,176,390

F1: Represents the weighted average purchase price of the shares of the Issuer's common stock purchased, ranging from a low of $9.58 to a high of $10.20 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F4: These securities are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, OrbiMed Advisors and GP VII may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F6: Each of OrbiMed Advisors, GP VII, Genesis GP, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes3,205,930 Reported balance After 2025-02-14 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2025-02-14 · Purchase · Acquired 29,540 · Balance 3,205,930

F2: Represents the weighted average purchase price of the shares of the Issuer's common stock purchased, ranging from a low of $9.80 to a high of $10.00 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F4: These securities are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, OrbiMed Advisors and GP VII may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F6: Each of OrbiMed Advisors, GP VII, Genesis GP, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes3,255,000 Reported balance After 2025-02-18 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2025-02-18 · Purchase · Acquired 49,070 · Balance 3,255,000

F3: Represents the weighted average purchase price of the shares of the Issuer's common stock purchased, ranging from a low of $10.25 to a high of $11.46 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F4: These securities are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, OrbiMed Advisors and GP VII may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F6: Each of OrbiMed Advisors, GP VII, Genesis GP, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes747,887 Reported balance After 2025-02-18 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2025-02-18 · Purchase · Acquired 94,100 · Balance 747,887

F3: Represents the weighted average purchase price of the shares of the Issuer's common stock purchased, ranging from a low of $10.25 to a high of $11.46 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F5: These securities are held of record by OrbiMed Genesis Master Fund, L.P. ("Genesis Master Fund"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of Genesis Master Fund. OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, OrbiMed Advisors and Genesis GP may be deemed to have voting power and investment power over the securities held by Genesis Master Fund and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by Genesis Master Fund.

F6: Each of OrbiMed Advisors, GP VII, Genesis GP, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the weighted average purchase price of the shares of the Issuer's common stock purchased, ranging from a low of $9.58 to a high of $10.20 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F2: Represents the weighted average purchase price of the shares of the Issuer's common stock purchased, ranging from a low of $9.80 to a high of $10.00 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F3: Represents the weighted average purchase price of the shares of the Issuer's common stock purchased, ranging from a low of $10.25 to a high of $11.46 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F4: These securities are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VII. By virtue of such relationships, OrbiMed Advisors and GP VII may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F5: These securities are held of record by OrbiMed Genesis Master Fund, L.P. ("Genesis Master Fund"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of Genesis Master Fund. OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, OrbiMed Advisors and Genesis GP may be deemed to have voting power and investment power over the securities held by Genesis Master Fund and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by Genesis Master Fund.

F6: Each of OrbiMed Advisors, GP VII, Genesis GP, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Oric Pharmaceuticals, Inc.

Report date June 16, 2021 · Filed June 17, 2021

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $19.03 · Expires 2031-06-15Direct16,625 Reported balance After 2021-06-16 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2021-06-16 · Grant · Acquired 16,625 · Balance 16,625

F1: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) June 16, 2022 or (ii) the business day prior to the next annual meeting of the Issuer's stockholders that occurs following the date of grant.

Filing footnotes · ownership attribution and instrument terms

F1: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) June 16, 2022 or (ii) the business day prior to the next annual meeting of the Issuer's stockholders that occurs following the date of grant.

Scribe Therapeutics, Inc.

Report date July 23, 2026 · Filed July 29, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes1,348,825 Last balance in matching sequence After 2026-07-27 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2026-07-27 · Conversion · Acquired 348,825 · Balance 348,825

F1: Each share of Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a one-for-0.1689 basis upon the closing of the Issuer's initial public offering on July 27, 2026 without payment of consideration. The Series B Preferred Stock has no expiration date.

F3: The shares are held directly by OrbiMed Private Investments VIII, LP ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VIII. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: Each of the Reporting Person, OrbiMed Advisors and GP VIII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Row 2 · 2026-07-27 · Purchase · Acquired 1,000,000 · Balance 1,348,825

F2: Reflects shares of the Issuer's Common Stock purchased in the Issuer's initial public offering.

F3: The shares are held directly by OrbiMed Private Investments VIII, LP ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VIII. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: Each of the Reporting Person, OrbiMed Advisors and GP VIII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2026-07-27 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2026-07-27 · Conversion · Disposed 2,065,672 · Balance 0

F1: Each share of Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a one-for-0.1689 basis upon the closing of the Issuer's initial public offering on July 27, 2026 without payment of consideration. The Series B Preferred Stock has no expiration date.

F3: The shares are held directly by OrbiMed Private Investments VIII, LP ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VIII. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: Each of the Reporting Person, OrbiMed Advisors and GP VIII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a one-for-0.1689 basis upon the closing of the Issuer's initial public offering on July 27, 2026 without payment of consideration. The Series B Preferred Stock has no expiration date.

F2: Reflects shares of the Issuer's Common Stock purchased in the Issuer's initial public offering.

F3: The shares are held directly by OrbiMed Private Investments VIII, LP ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VIII. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4: Each of the Reporting Person, OrbiMed Advisors and GP VIII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SpringWorks Therapeutics, Inc.

Report date September 12, 2019 · Filed September 12, 2019

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series A Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy OrbiMed Capital GP VI LLCNot disclosed Reported balance Holding disclosure · report date 2019-09-12 · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · Balance Not disclosed

F1: Each share of Series A Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Series A Convertible Preferred Stock will convert into shares of Common Stock of the Issuer. The Series A Convertible Preferred Stock has no expiration date.

F2: Shares held by OrbiMed Capital GP VI LLC ("GP VI"). GP VI is the general partner of OrbiMed Private Investments VI, LP ("OrbiMed VI"). OrbiMed Advisors LLC ("Advisors") is the managing member of GP VI. By virtue of such relationship, GP VI and Advisors may be deemed to have voting and investment power with respect to the shares held by OrbiMed VI and as a result may be deemed to have beneficial ownership of such shares. Advisors exercises investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein. This report shall not be deemed an admission that the reporting person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Series B Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy OrbiMed Capital GP VI LLCNot disclosed Reported balance Holding disclosure · report date 2019-09-12 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F3: Each share of Series B Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Convertible Preferred Stock will convert into shares of Common Stock of the Issuer. The Series B Convertible Preferred Stock has no expiration date.

F2: Shares held by OrbiMed Capital GP VI LLC ("GP VI"). GP VI is the general partner of OrbiMed Private Investments VI, LP ("OrbiMed VI"). OrbiMed Advisors LLC ("Advisors") is the managing member of GP VI. By virtue of such relationship, GP VI and Advisors may be deemed to have voting and investment power with respect to the shares held by OrbiMed VI and as a result may be deemed to have beneficial ownership of such shares. Advisors exercises investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein. This report shall not be deemed an admission that the reporting person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series A Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Series A Convertible Preferred Stock will convert into shares of Common Stock of the Issuer. The Series A Convertible Preferred Stock has no expiration date.

F2: Shares held by OrbiMed Capital GP VI LLC ("GP VI"). GP VI is the general partner of OrbiMed Private Investments VI, LP ("OrbiMed VI"). OrbiMed Advisors LLC ("Advisors") is the managing member of GP VI. By virtue of such relationship, GP VI and Advisors may be deemed to have voting and investment power with respect to the shares held by OrbiMed VI and as a result may be deemed to have beneficial ownership of such shares. Advisors exercises investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein. This report shall not be deemed an admission that the reporting person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

F3: Each share of Series B Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Convertible Preferred Stock will convert into shares of Common Stock of the Issuer. The Series B Convertible Preferred Stock has no expiration date.

Terns Pharmaceuticals, Inc.

Report date July 15, 2024 · Filed July 18, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes4,843,421 Reported balance After 2024-07-15 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2024-07-15 · Sale · Disposed 39,433 · Balance 4,843,421

F1: These securities are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("OrbiMed GP") is the general partner of OPI VII and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F4: Each of the Reporting Person, OrbiMed Advisors, OrbiMed GP, Genesis GP, Advisors III, and Asia GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes1,968,480 Reported balance After 2024-07-15 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2024-07-15 · Sale · Disposed 5,401 · Balance 1,968,480

F2: These securities are held of record by OrbiMed Asia Partners III, L.P. ("OAP III"). OrbiMed Asia GP III, L.P. ("Asia GP") is the general partner of OAP III and OrbiMed Advisors III Limited ("Advisors III") is the general partner of Asia GP. OrbiMed Advisors is the advisory company of OAP III. By virtue of such relationships, Asia GP, Advisors III, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP III and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OAP III.

F4: Each of the Reporting Person, OrbiMed Advisors, OrbiMed GP, Genesis GP, Advisors III, and Asia GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes756,258 Reported balance After 2024-07-15 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2024-07-15 · Sale · Disposed 6,142 · Balance 756,258

F3: These securities are held of record by OrbiMed Genesis Master Fund, L.P. ("Genesis"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of Genesis and OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, Genesis GP and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by Genesis and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by Genesis.

F4: Each of the Reporting Person, OrbiMed Advisors, OrbiMed GP, Genesis GP, Advisors III, and Asia GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes4,839,412 Reported balance After 2024-07-16 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2024-07-16 · Sale · Disposed 4,009 · Balance 4,839,412

F1: These securities are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("OrbiMed GP") is the general partner of OPI VII and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F4: Each of the Reporting Person, OrbiMed Advisors, OrbiMed GP, Genesis GP, Advisors III, and Asia GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes1,967,924 Reported balance After 2024-07-16 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2024-07-16 · Sale · Disposed 556 · Balance 1,967,924

F2: These securities are held of record by OrbiMed Asia Partners III, L.P. ("OAP III"). OrbiMed Asia GP III, L.P. ("Asia GP") is the general partner of OAP III and OrbiMed Advisors III Limited ("Advisors III") is the general partner of Asia GP. OrbiMed Advisors is the advisory company of OAP III. By virtue of such relationships, Asia GP, Advisors III, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP III and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OAP III.

F4: Each of the Reporting Person, OrbiMed Advisors, OrbiMed GP, Genesis GP, Advisors III, and Asia GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes755,635 Reported balance After 2024-07-16 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2024-07-16 · Sale · Disposed 623 · Balance 755,635

F3: These securities are held of record by OrbiMed Genesis Master Fund, L.P. ("Genesis"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of Genesis and OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, Genesis GP and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by Genesis and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by Genesis.

F4: Each of the Reporting Person, OrbiMed Advisors, OrbiMed GP, Genesis GP, Advisors III, and Asia GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("OrbiMed GP") is the general partner of OPI VII and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VII.

F2: These securities are held of record by OrbiMed Asia Partners III, L.P. ("OAP III"). OrbiMed Asia GP III, L.P. ("Asia GP") is the general partner of OAP III and OrbiMed Advisors III Limited ("Advisors III") is the general partner of Asia GP. OrbiMed Advisors is the advisory company of OAP III. By virtue of such relationships, Asia GP, Advisors III, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP III and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OAP III.

F3: These securities are held of record by OrbiMed Genesis Master Fund, L.P. ("Genesis"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of Genesis and OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, Genesis GP and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by Genesis and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by Genesis.

F4: Each of the Reporting Person, OrbiMed Advisors, OrbiMed GP, Genesis GP, Advisors III, and Asia GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Tessera Defense & Homeland Security Inc.

Report date May 15, 2024 · Filed May 20, 2024

Jointly reported with OrbiMed Israel BioFund GP Limited Partnership, OrbiMed Israel GP Ltd., Chimovits Erez

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes13,773,653 Last balance in matching sequence After 2024-05-15 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2024-05-15 · Other · Acquired 9,280,408 · Balance 13,797,997

F2: These securities are held of record by OIP. OrbiMed Israel BioFund GP Limited Partnership ("OrbiMed BioFund") is the general partner of OIP and OrbiMed Israel GP Ltd. ("OrbiMed Israel") is the general partner of OrbiMed BioFund. By virtue of such relationships, OrbiMed Israel and OrbiMed BioFund may be deemed to have voting and investment power over the securities held by OIP and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Israel exercises investment and voting power through an investment committee comprised of Carl L. Gordon and Erez Chimovits.

F3: Each of OrbiMed Israel, OrbiMed BioFund, Carl L. Gordon, and Erez Chimovits disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Row 2 · 2024-05-15 · Sale · Disposed 24,344 · Balance 13,773,653

F1: On May 15, 2024, OrbiMed Israel Partners Limited Partnership ("OIP") exercised pre-funded warrants ("Warrants") to purchase 9,280,408 shares of the Issuer's common stock for $0.244 per share. OIP paid the exercise price on a cashless basis, resulting in the Issuer withholding 24,344 of the Warrant shares to pay the exercise price and issuing to OIP the remaining 9,256,064 shares. The shares of the Issuer's common stock withheld to pay the exercise price of the Warrants are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), with a portion of OIP's purchase of certain derivative securities on March 15, 2024. OIP will disgorge to the Issuer the statutory "profits" pursuant to Section 16(b) of the Exchange Act that resulted from such transactions.

F2: These securities are held of record by OIP. OrbiMed Israel BioFund GP Limited Partnership ("OrbiMed BioFund") is the general partner of OIP and OrbiMed Israel GP Ltd. ("OrbiMed Israel") is the general partner of OrbiMed BioFund. By virtue of such relationships, OrbiMed Israel and OrbiMed BioFund may be deemed to have voting and investment power over the securities held by OIP and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Israel exercises investment and voting power through an investment committee comprised of Carl L. Gordon and Erez Chimovits.

F3: Each of OrbiMed Israel, OrbiMed BioFund, Carl L. Gordon, and Erez Chimovits disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Warrants (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.24 · Expires 2033-05-04IndirectSee footnotes0 Reported balance After 2024-05-15 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2024-05-15 · Other · Disposed 9,280,408 · Balance 0

F2: These securities are held of record by OIP. OrbiMed Israel BioFund GP Limited Partnership ("OrbiMed BioFund") is the general partner of OIP and OrbiMed Israel GP Ltd. ("OrbiMed Israel") is the general partner of OrbiMed BioFund. By virtue of such relationships, OrbiMed Israel and OrbiMed BioFund may be deemed to have voting and investment power over the securities held by OIP and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Israel exercises investment and voting power through an investment committee comprised of Carl L. Gordon and Erez Chimovits.

F3: Each of OrbiMed Israel, OrbiMed BioFund, Carl L. Gordon, and Erez Chimovits disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On May 15, 2024, OrbiMed Israel Partners Limited Partnership ("OIP") exercised pre-funded warrants ("Warrants") to purchase 9,280,408 shares of the Issuer's common stock for $0.244 per share. OIP paid the exercise price on a cashless basis, resulting in the Issuer withholding 24,344 of the Warrant shares to pay the exercise price and issuing to OIP the remaining 9,256,064 shares. The shares of the Issuer's common stock withheld to pay the exercise price of the Warrants are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), with a portion of OIP's purchase of certain derivative securities on March 15, 2024. OIP will disgorge to the Issuer the statutory "profits" pursuant to Section 16(b) of the Exchange Act that resulted from such transactions.

F2: These securities are held of record by OIP. OrbiMed Israel BioFund GP Limited Partnership ("OrbiMed BioFund") is the general partner of OIP and OrbiMed Israel GP Ltd. ("OrbiMed Israel") is the general partner of OrbiMed BioFund. By virtue of such relationships, OrbiMed Israel and OrbiMed BioFund may be deemed to have voting and investment power over the securities held by OIP and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Israel exercises investment and voting power through an investment committee comprised of Carl L. Gordon and Erez Chimovits.

F3: Each of OrbiMed Israel, OrbiMed BioFund, Carl L. Gordon, and Erez Chimovits disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Turning Point Therapeutics, Inc.

Report date June 15, 2020 · Filed June 17, 2020

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $65.39 · Expires 2030-06-14Direct8,500 Reported balance After 2020-06-15 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2020-06-15 · Grant · Acquired 8,500 · Balance 8,500

F1: The shares vest on the one-year anniversary of the date of grant.

Filing footnotes · ownership attribution and instrument terms

F1: The shares vest on the one-year anniversary of the date of grant.

X4 Pharmaceuticals, Inc

Report date June 05, 2018 · Filed June 07, 2018

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.99 · Expires 2028-06-04Direct10,000 Reported balance After 2018-06-05 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2018-06-05 · Grant · Acquired 10,000 · Balance 10,000

F1: The option becomes exercisable as to 1/12th of the shares underlying the award on the one-month anniversary of the date of grant, with the remainder vesting in equal monthly installments until the first anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: The option becomes exercisable as to 1/12th of the shares underlying the award on the one-month anniversary of the date of grant, with the remainder vesting in equal monthly installments until the first anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

Past disclosures · reporting ended (4)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

ARMO BioSciences, Inc.

Report date June 22, 2018 · Filed June 22, 2018

Section 16 reporting ended · disclosed 2018-06-22. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy OrbiMed Private Investments IV, LP0 Reported balance After 2018-06-22 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2018-06-22 · Other · Disposed 3,709,356 · Balance 0

F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated May 9, 2018, by and among the Issuer, Eli Lilly and Company ("Parent") and Bluegill Acquisition Corporation ("Merger Sub"), a wholly-owned subsidiary of Parent, Merger Sub made a cash tender offer (the "Offer") to purchase each outstanding share of the Issuer's common stock for $50.00 per share (the "Offer Price"), net to the seller in cash, without interest and less any applicable tax withholding. These shares were tendered into the Offer and, after the expiration of the Offer at one minute after 11:59 pm Eastern Time on June 21, 2018, Merger Sub accepted all of the tendered shares and the holder was entitled to receive the Offer Price per share.

F4: These Shares are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities.

F6: Each of GP IV, GP V, Advisors and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectBy OrbiMed Private Investments V, LP0 Reported balance After 2018-06-22 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2018-06-22 · Other · Disposed 409,547 · Balance 0

F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated May 9, 2018, by and among the Issuer, Eli Lilly and Company ("Parent") and Bluegill Acquisition Corporation ("Merger Sub"), a wholly-owned subsidiary of Parent, Merger Sub made a cash tender offer (the "Offer") to purchase each outstanding share of the Issuer's common stock for $50.00 per share (the "Offer Price"), net to the seller in cash, without interest and less any applicable tax withholding. These shares were tendered into the Offer and, after the expiration of the Offer at one minute after 11:59 pm Eastern Time on June 21, 2018, Merger Sub accepted all of the tendered shares and the holder was entitled to receive the Offer Price per share.

F5: These Shares are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V, and Advisors is the managing member of GP V. By virtue of such relationships, GP IV and Advisors may be deemed to have voting and investment power over the securities held by OPI V and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a member of Advisors.

F6: Each of GP IV, GP V, Advisors and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $39.97 · Expires 2028-03-25Direct0 Reported balance After 2018-06-22 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2018-06-22 · Disposition to issuer · Disposed 18,000 · Balance 0

F2: Pursuant to the Merger Agreement, each outstanding option to purchase shares of the Issuer's common stock, whether or not exercisable or vested, was cancelled and the holder thereof became entitled to receive an amount in cash determined by multiplying (A) the excess, if any, of $50.00 over the exercise price per share of the common stock underlying such stock option by (B) the number of shares of common stock subject to such stock option.

F3: This option, which provided for vesting in thirty-six equal monthly installments following March 31, 2018, was cancelled and the Reporting Person became entitled to receive an amount in cash per the terms of the Merger Agreement, as described in footnote (2) above.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated May 9, 2018, by and among the Issuer, Eli Lilly and Company ("Parent") and Bluegill Acquisition Corporation ("Merger Sub"), a wholly-owned subsidiary of Parent, Merger Sub made a cash tender offer (the "Offer") to purchase each outstanding share of the Issuer's common stock for $50.00 per share (the "Offer Price"), net to the seller in cash, without interest and less any applicable tax withholding. These shares were tendered into the Offer and, after the expiration of the Offer at one minute after 11:59 pm Eastern Time on June 21, 2018, Merger Sub accepted all of the tendered shares and the holder was entitled to receive the Offer Price per share.

F2: Pursuant to the Merger Agreement, each outstanding option to purchase shares of the Issuer's common stock, whether or not exercisable or vested, was cancelled and the holder thereof became entitled to receive an amount in cash determined by multiplying (A) the excess, if any, of $50.00 over the exercise price per share of the common stock underlying such stock option by (B) the number of shares of common stock subject to such stock option.

F3: This option, which provided for vesting in thirty-six equal monthly installments following March 31, 2018, was cancelled and the Reporting Person became entitled to receive an amount in cash per the terms of the Merger Agreement, as described in footnote (2) above.

F4: These Shares are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities.

F5: These Shares are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V, and Advisors is the managing member of GP V. By virtue of such relationships, GP IV and Advisors may be deemed to have voting and investment power over the securities held by OPI V and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a member of Advisors.

F6: Each of GP IV, GP V, Advisors and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Kinnate Biopharma Inc.

Report date April 03, 2024 · Filed April 05, 2024

Section 16 reporting ended · disclosed 2024-04-05. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes0 Reported balance After 2024-04-03 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2024-04-03 · Disposition to issuer · Disposed 1,368,339 · Balance 0

F1: Disposed of pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for (i) $2.5879 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each RSU will receive the Cash Amount (without interest and less any applicable tax withholdings), plus one CVR.

F2: These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the advisory company of OAP IV. By virtue of such relationships, Asia GP, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the securities held by OAP IV.

F7: Each of the Reporting Person, OrbiMed Advisors, Advisors IV, GP VIII, Asia GP, GP VII, OrbiMed Genesis, and OrbiMed Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes0 Reported balance After 2024-04-03 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2024-04-03 · Disposition to issuer · Disposed 4,738,453 · Balance 0

F1: Disposed of pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for (i) $2.5879 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each RSU will receive the Cash Amount (without interest and less any applicable tax withholdings), plus one CVR.

F3: These securities are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII and OrbiMed Advisors is the managing member of GP VII. By virtue of such relationships, OrbiMed Advisors and GP VII may be deemed to have voting power and investment power over the securities held by OPI VII and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI VII.

F7: Each of the Reporting Person, OrbiMed Advisors, Advisors IV, GP VIII, Asia GP, GP VII, OrbiMed Genesis, and OrbiMed Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes0 Reported balance After 2024-04-03 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2024-04-03 · Disposition to issuer · Disposed 1,368,338 · Balance 0

F1: Disposed of pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for (i) $2.5879 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each RSU will receive the Cash Amount (without interest and less any applicable tax withholdings), plus one CVR.

F4: These securities are held of record by OrbiMed Private Investments VIII, LP ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. By virtue of such relationships, OrbiMed Advisors and GP VIII may be deemed to have voting power and investment power over the securities held by OPI VIII and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI VIII.

F7: Each of the Reporting Person, OrbiMed Advisors, Advisors IV, GP VIII, Asia GP, GP VII, OrbiMed Genesis, and OrbiMed Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes0 Reported balance After 2024-04-03 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2024-04-03 · Disposition to issuer · Disposed 84,599 · Balance 0

F1: Disposed of pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for (i) $2.5879 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each RSU will receive the Cash Amount (without interest and less any applicable tax withholdings), plus one CVR.

F5: These securities are held of record by OrbiMed Genesis Master Fund, L.P. ("OrbiMed Genesis"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of OrbiMed Genesis. OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, OrbiMed Advisors and Genesis GP may be deemed to have voting power and investment power over the securities held by OrbiMed Genesis and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OrbiMed Genesis.

F7: Each of the Reporting Person, OrbiMed Advisors, Advisors IV, GP VIII, Asia GP, GP VII, OrbiMed Genesis, and OrbiMed Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes0 Reported balance After 2024-04-03 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2024-04-03 · Disposition to issuer · Disposed 450,000 · Balance 0

F1: Disposed of pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for (i) $2.5879 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each RSU will receive the Cash Amount (without interest and less any applicable tax withholdings), plus one CVR.

F6: These securities are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital LLC ("OrbiMed Capital") is the investment advisor to OPM. OrbiMed Capital is a relying advisor of OrbiMed Advisors. OrbiMed Advisors and OrbiMed Capital exercise voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPM.

F7: Each of the Reporting Person, OrbiMed Advisors, Advisors IV, GP VIII, Asia GP, GP VII, OrbiMed Genesis, and OrbiMed Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.00 · Expires 2030-12-02Direct0 Reported balance After 2024-04-03 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2024-04-03 · Disposition to issuer · Disposed 40,501 · Balance 0

F8: This option was cancelled pursuant to the Merger Agreement in exchange for one CVR for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.38 · Expires 2032-06-13Direct0 Reported balance After 2024-04-03 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2024-04-03 · Disposition to issuer · Disposed 20,250 · Balance 0

F8: This option was cancelled pursuant to the Merger Agreement in exchange for one CVR for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.48 · Expires 2033-06-12Direct0 Reported balance After 2024-04-03 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2024-04-03 · Disposition to issuer · Disposed 25,000 · Balance 0

F8: This option was cancelled pursuant to the Merger Agreement in exchange for one CVR for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for (i) $2.5879 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each RSU will receive the Cash Amount (without interest and less any applicable tax withholdings), plus one CVR.

F2: These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the advisory company of OAP IV. By virtue of such relationships, Asia GP, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the securities held by OAP IV.

F3: These securities are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII and OrbiMed Advisors is the managing member of GP VII. By virtue of such relationships, OrbiMed Advisors and GP VII may be deemed to have voting power and investment power over the securities held by OPI VII and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI VII.

F4: These securities are held of record by OrbiMed Private Investments VIII, LP ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. By virtue of such relationships, OrbiMed Advisors and GP VIII may be deemed to have voting power and investment power over the securities held by OPI VIII and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI VIII.

F5: These securities are held of record by OrbiMed Genesis Master Fund, L.P. ("OrbiMed Genesis"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of OrbiMed Genesis. OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, OrbiMed Advisors and Genesis GP may be deemed to have voting power and investment power over the securities held by OrbiMed Genesis and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OrbiMed Genesis.

F6: These securities are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital LLC ("OrbiMed Capital") is the investment advisor to OPM. OrbiMed Capital is a relying advisor of OrbiMed Advisors. OrbiMed Advisors and OrbiMed Capital exercise voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPM.

F7: Each of the Reporting Person, OrbiMed Advisors, Advisors IV, GP VIII, Asia GP, GP VII, OrbiMed Genesis, and OrbiMed Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

F8: This option was cancelled pursuant to the Merger Agreement in exchange for one CVR for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

Prevail Therapeutics Inc.

Report date January 22, 2021 · Filed January 26, 2021

Section 16 reporting ended · disclosed 2021-01-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2021-01-22 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2021-01-22 · Other · Disposed 13,822,463 · Balance 0

F1: Pursuant to the terms of the Merger Agreement, these shares were tendered and disposed of at the Acceptance Time in exchange for the right to receive (i) $22.50 per share of common stock, net to the seller in cash, without interest (the "Closing Amount"), plus (ii) one contingent value right per share (a "CVR"), which shall represent the right to receive certain consideration based on the achievement of net sales milestones.

F2: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP VI. Advisors exercises investment and voting power through a management committee comprised of Carl Gordon, Ph.D., C.F.A., Sven H. Borho and Jonathan T. Silverstein. By virtue of such relationships, GP VI, Advisors and Dr. Gordon may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and, as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a member of Advisors.

F3: Each of GP VI, Advisors, Messrs. Borho and Silverstein and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities and Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.98Direct0 Reported balance After 2021-01-22 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2021-01-22 · Disposition to issuer · Disposed 17,000 · Balance 0

F4: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each option to purchase shares of the Issuer's common stock, whether or not vested, was automatically cancelled, by virtue of the Merger and without any action on the part of the Reporting Person, and the Reporting Person was entitled to receive (A) an amount of cash (less applicable tax withholdings) equal to the product of (i) the excess, if any, of the Closing Amount over the applicable exercise price per share underlying such stock option multiplied by (ii) the total number of shares subject to such stock option, and (B) one CVR for each share subject to such stock option immediately prior to the Effective Time (without regard to vesting).

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the terms of the Merger Agreement, these shares were tendered and disposed of at the Acceptance Time in exchange for the right to receive (i) $22.50 per share of common stock, net to the seller in cash, without interest (the "Closing Amount"), plus (ii) one contingent value right per share (a "CVR"), which shall represent the right to receive certain consideration based on the achievement of net sales milestones.

F2: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP VI. Advisors exercises investment and voting power through a management committee comprised of Carl Gordon, Ph.D., C.F.A., Sven H. Borho and Jonathan T. Silverstein. By virtue of such relationships, GP VI, Advisors and Dr. Gordon may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and, as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a member of Advisors.

F3: Each of GP VI, Advisors, Messrs. Borho and Silverstein and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities and Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

F4: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each option to purchase shares of the Issuer's common stock, whether or not vested, was automatically cancelled, by virtue of the Merger and without any action on the part of the Reporting Person, and the Reporting Person was entitled to receive (A) an amount of cash (less applicable tax withholdings) equal to the product of (i) the excess, if any, of the Closing Amount over the applicable exercise price per share underlying such stock option multiplied by (ii) the total number of shares subject to such stock option, and (B) one CVR for each share subject to such stock option immediately prior to the Effective Time (without regard to vesting).

Theseus Pharmaceuticals, Inc.

Report date February 14, 2024 · Filed February 14, 2024

Section 16 reporting ended · disclosed 2024-02-14. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2024-02-14 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2024-02-14 · Other · Disposed 17,063,000 · Balance 0

F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 22, 2023, by and among the Issuer, Concentra Biosciences, LLC, a Delaware limited liability company ("Parent") and Concentra Merger Sub II, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of February 14, 2024 (the "Effective Time") with the Issuer surviving the merger.

F2: At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive (a) $4.05 per Share in cash (the "Cash Amount"), subject to any applicable withholding taxes and without interest, plus (b) one non-transferable contractual contingent value right per Share (each, a "CVR"), which represents the right to receive potential payments, in cash, subject to any applicable tax withholding and without interest, all upon the terms and subject to the conditions as set forth in the Offer to Purchase, as amended, and in the related Letter of Transmittal.

F3: These Shares are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, OrbiMed Advisors and GP VII may be deemed to have voting power and investment power over the securities held by OPI VII and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI VII.

F4: Each of the Reporting Person, GP VII, OrbiMed Genesis GP LLC ("Genesis GP"), and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Person, GP VII, Genesis GP, or OrbiMed Advisors is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2024-02-14 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2024-02-14 · Other · Disposed 650,600 · Balance 0

F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 22, 2023, by and among the Issuer, Concentra Biosciences, LLC, a Delaware limited liability company ("Parent") and Concentra Merger Sub II, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of February 14, 2024 (the "Effective Time") with the Issuer surviving the merger.

F2: At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive (a) $4.05 per Share in cash (the "Cash Amount"), subject to any applicable withholding taxes and without interest, plus (b) one non-transferable contractual contingent value right per Share (each, a "CVR"), which represents the right to receive potential payments, in cash, subject to any applicable tax withholding and without interest, all upon the terms and subject to the conditions as set forth in the Offer to Purchase, as amended, and in the related Letter of Transmittal.

F4: Each of the Reporting Person, GP VII, OrbiMed Genesis GP LLC ("Genesis GP"), and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Person, GP VII, Genesis GP, or OrbiMed Advisors is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

F5: These Shares are held of record by OrbiMed Genesis Master Fund, L.P. ("OrbiMed Genesis"). Genesis GP is the general partner of OrbiMed Genesis. OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, OrbiMed Advisors and Genesis GP may be deemed to have voting power and investment power over the securities held by OrbiMed Genesis and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OrbiMed Genesis.

Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2024-02-14 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2024-02-14 · Disposition to issuer · Disposed 3,250 · Balance 0

F6: Each Issuer restricted stock unit ("Issuer RSU") represents a contingent right to receive one Share.

F7: Pursuant to the terms of the Merger Agreement, each outstanding Issuer RSU that was outstanding and unvested immediately prior to the Effective Time vested in full. At the Effective Time, each Issuer RSU then outstanding was cancelled and converted into (i) a cash payment equal to the product of (A) the total number of Shares then underlying such Issuer RSU multiplied by (B) the Cash Amount, without interest and subject to any withholding of taxes; and (ii) one CVR for each Share subject to such Issuer RSU.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 22, 2023, by and among the Issuer, Concentra Biosciences, LLC, a Delaware limited liability company ("Parent") and Concentra Merger Sub II, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of February 14, 2024 (the "Effective Time") with the Issuer surviving the merger.

F2: At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive (a) $4.05 per Share in cash (the "Cash Amount"), subject to any applicable withholding taxes and without interest, plus (b) one non-transferable contractual contingent value right per Share (each, a "CVR"), which represents the right to receive potential payments, in cash, subject to any applicable tax withholding and without interest, all upon the terms and subject to the conditions as set forth in the Offer to Purchase, as amended, and in the related Letter of Transmittal.

F3: These Shares are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, OrbiMed Advisors and GP VII may be deemed to have voting power and investment power over the securities held by OPI VII and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI VII.

F4: Each of the Reporting Person, GP VII, OrbiMed Genesis GP LLC ("Genesis GP"), and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Person, GP VII, Genesis GP, or OrbiMed Advisors is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

F5: These Shares are held of record by OrbiMed Genesis Master Fund, L.P. ("OrbiMed Genesis"). Genesis GP is the general partner of OrbiMed Genesis. OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, OrbiMed Advisors and Genesis GP may be deemed to have voting power and investment power over the securities held by OrbiMed Genesis and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OrbiMed Genesis.

F6: Each Issuer restricted stock unit ("Issuer RSU") represents a contingent right to receive one Share.

F7: Pursuant to the terms of the Merger Agreement, each outstanding Issuer RSU that was outstanding and unvested immediately prior to the Effective Time vested in full. At the Effective Time, each Issuer RSU then outstanding was cancelled and converted into (i) a cash payment equal to the product of (A) the total number of Shares then underlying such Issuer RSU multiplied by (B) the Cash Amount, without interest and subject to any withholding of taxes; and (ii) one CVR for each Share subject to such Issuer RSU.

Transaction history

JSON API
Reset

Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
April 03, 2024 Filed Apr 5, 2024 16:39 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 Disposition to issuerCommon Stock 1,368,338 Not disclosed Not disclosed
Disclosure

SEC source: 0000947871-24-000354 · ownership.xml · nonDerivative · entry 3

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 0

F1 · price: Disposed of pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for (i) $2.5879 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each RSU will receive the Cash Amount (without interest and less any applicable tax withholdings), plus one CVR.

F4 · ownership.nature: These securities are held of record by OrbiMed Private Investments VIII, LP ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. By virtue of such relationships, OrbiMed Advisors and GP VIII may be deemed to have voting power and investment power over the securities held by OPI VIII and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI VIII.

F7 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, Advisors IV, GP VIII, Asia GP, GP VII, OrbiMed Genesis, and OrbiMed Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
April 03, 2024 Filed Apr 5, 2024 16:39 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 Disposition to issuerCommon Stock 4,738,453 Not disclosed Not disclosed
Disclosure

SEC source: 0000947871-24-000354 · ownership.xml · nonDerivative · entry 2

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 0

F1 · price: Disposed of pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for (i) $2.5879 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each RSU will receive the Cash Amount (without interest and less any applicable tax withholdings), plus one CVR.

F3 · ownership.nature: These securities are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII and OrbiMed Advisors is the managing member of GP VII. By virtue of such relationships, OrbiMed Advisors and GP VII may be deemed to have voting power and investment power over the securities held by OPI VII and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI VII.

F7 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, Advisors IV, GP VIII, Asia GP, GP VII, OrbiMed Genesis, and OrbiMed Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
April 03, 2024 Filed Apr 5, 2024 16:39 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 Disposition to issuerCommon Stock 1,368,339 Not disclosed Not disclosed
Disclosure

SEC source: 0000947871-24-000354 · ownership.xml · nonDerivative · entry 1

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 0

F1 · price: Disposed of pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for (i) $2.5879 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each RSU will receive the Cash Amount (without interest and less any applicable tax withholdings), plus one CVR.

F2 · ownership.nature: These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the advisory company of OAP IV. By virtue of such relationships, Asia GP, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the securities held by OAP IV.

F7 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, Advisors IV, GP VIII, Asia GP, GP VII, OrbiMed Genesis, and OrbiMed Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
March 15, 2024 Filed Mar 20, 2024 01:06 UTC Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 PurchaseWarrants (Right to Buy) · Derivative 2,163,500 Not disclosed Strike: $0.23 Not disclosed
Disclosure

SEC source: 0000947871-24-000289 · ownership.xml · derivative · entry 2

OrbiMed Israel BioFund GP Limited Partnership · CIK 0001569821 · 10% owner

OrbiMed Israel GP Ltd. · CIK 0001569590 · 10% owner

GORDON CARL L · CIK 0001282930 · 10% owner

Chimovits Erez · CIK 0001706399 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 2,163,500

Underlying: Common Stock · 2,163,500 shares

Expires not disclosed

F3 · price: These warrants to purchase shares of the Issuer's common stock were purchased from the Issuer in a private placement. The warrants are exercisable for one share of the Issuer's common stock per warrant at any time following the Stockholder Approval, subject to the Beneficial Ownership Limitation, and expire on the 24-month anniversary of the date on which they are first exercisable.

F3 · derivative.exercise_date: These warrants to purchase shares of the Issuer's common stock were purchased from the Issuer in a private placement. The warrants are exercisable for one share of the Issuer's common stock per warrant at any time following the Stockholder Approval, subject to the Beneficial Ownership Limitation, and expire on the 24-month anniversary of the date on which they are first exercisable.

F3 · derivative.expiration_date: These warrants to purchase shares of the Issuer's common stock were purchased from the Issuer in a private placement. The warrants are exercisable for one share of the Issuer's common stock per warrant at any time following the Stockholder Approval, subject to the Beneficial Ownership Limitation, and expire on the 24-month anniversary of the date on which they are first exercisable.

F4 · ownership.nature: These securities are held of record by OrbiMed Israel Partners Limited Partnership ("OIP"). OrbiMed Israel BioFund GP Limited Partnership ("OrbiMed BioFund") is the general partner of OIP and OrbiMed Israel GP Ltd. ("OrbiMed Israel") is the general partner of OrbiMed BioFund. By virtue of such relationships, OrbiMed Israel and OrbiMed BioFund may be deemed to have voting and investment power over the securities held by OIP and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Israel exercises investment and voting power through an investment committee comprised of Carl L. Gordon and Erez Chimovits.

F5 · ownership.nature: Each of OrbiMed Israel, OrbiMed BioFund, Carl L. Gordon, and Erez Chimovits disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
March 15, 2024 Filed Mar 20, 2024 01:06 UTC Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 PurchaseSeries X Preferred Stock · Derivative 4,327 Not disclosed Not disclosed
Disclosure

SEC source: 0000947871-24-000289 · ownership.xml · derivative · entry 1

OrbiMed Israel BioFund GP Limited Partnership · CIK 0001569821 · 10% owner

OrbiMed Israel GP Ltd. · CIK 0001569590 · 10% owner

GORDON CARL L · CIK 0001282930 · 10% owner

Chimovits Erez · CIK 0001706399 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 4,327

Underlying: Common Stock · 4,327,000 shares

Expires not disclosed

F1 · derivative.exercise_price: These shares of the Issuer's Series X Non-Voting Convertible Preferred Stock ("Series X Preferred Stock") were purchased from the Issuer in a private placement. Each share of Series X Preferred Stock is automatically convertible into 1,000 shares of the Issuer's common stock at 5:00 p.m. Eastern time on the fourth business day after the date the Issuer's stockholders approve the conversion of the Series X preferred Stock into shares of the Issuer's common stock (the "Stockholder Approval") or at any time at the option of the holder following 5:00 p.m. Eastern time on the third business day after the date the Stockholder Approval is obtained.

F2 · derivative.exercise_price: The conversion of the Series X Preferred Stock into shares of the Issuer's common stock is subject to an issuance limitation that prohibits the holder from converting the shares of Series X Preferred Stock into shares of the Issuer's common stock to the extent that after giving effect to such issuance after conversion, the holder (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, including the Reporting Persons) would beneficially own in excess of 19.9% of the shares of common stock outstanding immediately after giving effect to the issuance of the shares of common stock issued upon conversion of the shares of Series X Preferred Stock (the "Beneficial Ownership Limitation").

F1 · price: These shares of the Issuer's Series X Non-Voting Convertible Preferred Stock ("Series X Preferred Stock") were purchased from the Issuer in a private placement. Each share of Series X Preferred Stock is automatically convertible into 1,000 shares of the Issuer's common stock at 5:00 p.m. Eastern time on the fourth business day after the date the Issuer's stockholders approve the conversion of the Series X preferred Stock into shares of the Issuer's common stock (the "Stockholder Approval") or at any time at the option of the holder following 5:00 p.m. Eastern time on the third business day after the date the Stockholder Approval is obtained.

F2 · price: The conversion of the Series X Preferred Stock into shares of the Issuer's common stock is subject to an issuance limitation that prohibits the holder from converting the shares of Series X Preferred Stock into shares of the Issuer's common stock to the extent that after giving effect to such issuance after conversion, the holder (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, including the Reporting Persons) would beneficially own in excess of 19.9% of the shares of common stock outstanding immediately after giving effect to the issuance of the shares of common stock issued upon conversion of the shares of Series X Preferred Stock (the "Beneficial Ownership Limitation").

F1 · derivative.exercise_date: These shares of the Issuer's Series X Non-Voting Convertible Preferred Stock ("Series X Preferred Stock") were purchased from the Issuer in a private placement. Each share of Series X Preferred Stock is automatically convertible into 1,000 shares of the Issuer's common stock at 5:00 p.m. Eastern time on the fourth business day after the date the Issuer's stockholders approve the conversion of the Series X preferred Stock into shares of the Issuer's common stock (the "Stockholder Approval") or at any time at the option of the holder following 5:00 p.m. Eastern time on the third business day after the date the Stockholder Approval is obtained.

F2 · derivative.exercise_date: The conversion of the Series X Preferred Stock into shares of the Issuer's common stock is subject to an issuance limitation that prohibits the holder from converting the shares of Series X Preferred Stock into shares of the Issuer's common stock to the extent that after giving effect to such issuance after conversion, the holder (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, including the Reporting Persons) would beneficially own in excess of 19.9% of the shares of common stock outstanding immediately after giving effect to the issuance of the shares of common stock issued upon conversion of the shares of Series X Preferred Stock (the "Beneficial Ownership Limitation").

F1 · derivative.expiration_date: These shares of the Issuer's Series X Non-Voting Convertible Preferred Stock ("Series X Preferred Stock") were purchased from the Issuer in a private placement. Each share of Series X Preferred Stock is automatically convertible into 1,000 shares of the Issuer's common stock at 5:00 p.m. Eastern time on the fourth business day after the date the Issuer's stockholders approve the conversion of the Series X preferred Stock into shares of the Issuer's common stock (the "Stockholder Approval") or at any time at the option of the holder following 5:00 p.m. Eastern time on the third business day after the date the Stockholder Approval is obtained.

F2 · derivative.expiration_date: The conversion of the Series X Preferred Stock into shares of the Issuer's common stock is subject to an issuance limitation that prohibits the holder from converting the shares of Series X Preferred Stock into shares of the Issuer's common stock to the extent that after giving effect to such issuance after conversion, the holder (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, including the Reporting Persons) would beneficially own in excess of 19.9% of the shares of common stock outstanding immediately after giving effect to the issuance of the shares of common stock issued upon conversion of the shares of Series X Preferred Stock (the "Beneficial Ownership Limitation").

F4 · ownership.nature: These securities are held of record by OrbiMed Israel Partners Limited Partnership ("OIP"). OrbiMed Israel BioFund GP Limited Partnership ("OrbiMed BioFund") is the general partner of OIP and OrbiMed Israel GP Ltd. ("OrbiMed Israel") is the general partner of OrbiMed BioFund. By virtue of such relationships, OrbiMed Israel and OrbiMed BioFund may be deemed to have voting and investment power over the securities held by OIP and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Israel exercises investment and voting power through an investment committee comprised of Carl L. Gordon and Erez Chimovits.

F5 · ownership.nature: Each of OrbiMed Israel, OrbiMed BioFund, Carl L. Gordon, and Erez Chimovits disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
February 14, 2024 Filed Feb 14, 2024 16:01 UTC Theseus Pharmaceuticals, Inc. THRX · Entity 94301 Disposition to issuerRestricted Stock Units · Derivative 3,250 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-023559 · tm246087-3_4seq1.xml · derivative · entry 3

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,250 shares

Expires not disclosed

F6 · derivative.exercise_price: Each Issuer restricted stock unit ("Issuer RSU") represents a contingent right to receive one Share.

F7 · price: Pursuant to the terms of the Merger Agreement, each outstanding Issuer RSU that was outstanding and unvested immediately prior to the Effective Time vested in full. At the Effective Time, each Issuer RSU then outstanding was cancelled and converted into (i) a cash payment equal to the product of (A) the total number of Shares then underlying such Issuer RSU multiplied by (B) the Cash Amount, without interest and subject to any withholding of taxes; and (ii) one CVR for each Share subject to such Issuer RSU.

F7 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each outstanding Issuer RSU that was outstanding and unvested immediately prior to the Effective Time vested in full. At the Effective Time, each Issuer RSU then outstanding was cancelled and converted into (i) a cash payment equal to the product of (A) the total number of Shares then underlying such Issuer RSU multiplied by (B) the Cash Amount, without interest and subject to any withholding of taxes; and (ii) one CVR for each Share subject to such Issuer RSU.

F7 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each outstanding Issuer RSU that was outstanding and unvested immediately prior to the Effective Time vested in full. At the Effective Time, each Issuer RSU then outstanding was cancelled and converted into (i) a cash payment equal to the product of (A) the total number of Shares then underlying such Issuer RSU multiplied by (B) the Cash Amount, without interest and subject to any withholding of taxes; and (ii) one CVR for each Share subject to such Issuer RSU.

Read SEC document
February 14, 2024 Filed Feb 14, 2024 16:01 UTC Theseus Pharmaceuticals, Inc. THRX · Entity 94301 OtherCommon Stock 650,600 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-023559 · tm246087-3_4seq1.xml · nonDerivative · entry 2

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · price: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 22, 2023, by and among the Issuer, Concentra Biosciences, LLC, a Delaware limited liability company ("Parent") and Concentra Merger Sub II, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of February 14, 2024 (the "Effective Time") with the Issuer surviving the merger.

F2 · price: At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive (a) $4.05 per Share in cash (the "Cash Amount"), subject to any applicable withholding taxes and without interest, plus (b) one non-transferable contractual contingent value right per Share (each, a "CVR"), which represents the right to receive potential payments, in cash, subject to any applicable tax withholding and without interest, all upon the terms and subject to the conditions as set forth in the Offer to Purchase, as amended, and in the related Letter of Transmittal.

F4 · ownership.nature: Each of the Reporting Person, GP VII, OrbiMed Genesis GP LLC ("Genesis GP"), and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Person, GP VII, Genesis GP, or OrbiMed Advisors is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

F5 · ownership.nature: These Shares are held of record by OrbiMed Genesis Master Fund, L.P. ("OrbiMed Genesis"). Genesis GP is the general partner of OrbiMed Genesis. OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, OrbiMed Advisors and Genesis GP may be deemed to have voting power and investment power over the securities held by OrbiMed Genesis and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OrbiMed Genesis.

Read SEC document
February 14, 2024 Filed Feb 14, 2024 16:01 UTC Theseus Pharmaceuticals, Inc. THRX · Entity 94301 OtherCommon Stock 17,063,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-023559 · tm246087-3_4seq1.xml · nonDerivative · entry 1

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · price: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 22, 2023, by and among the Issuer, Concentra Biosciences, LLC, a Delaware limited liability company ("Parent") and Concentra Merger Sub II, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of February 14, 2024 (the "Effective Time") with the Issuer surviving the merger.

F2 · price: At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive (a) $4.05 per Share in cash (the "Cash Amount"), subject to any applicable withholding taxes and without interest, plus (b) one non-transferable contractual contingent value right per Share (each, a "CVR"), which represents the right to receive potential payments, in cash, subject to any applicable tax withholding and without interest, all upon the terms and subject to the conditions as set forth in the Offer to Purchase, as amended, and in the related Letter of Transmittal.

F3 · ownership.nature: These Shares are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, OrbiMed Advisors and GP VII may be deemed to have voting power and investment power over the securities held by OPI VII and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI VII.

F4 · ownership.nature: Each of the Reporting Person, GP VII, OrbiMed Genesis GP LLC ("Genesis GP"), and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Person, GP VII, Genesis GP, or OrbiMed Advisors is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
February 09, 2024 Filed Feb 14, 2024 17:02 UTC Compass Therapeutics, Inc. CMPX · Entity 5614 GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $1.57 $0.00
Disclosure

SEC source: 0001171843-24-000794 · ownership.xml · derivative · entry 1

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-02-08

F1 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting March 9, 2024.

F2 · ownership.direct: The Reporting Person is a member of OrbiMed Advisors LLC ("OrbiMed Advisors"). Pursuant to an agreement with OrbiMed Advisors, the Reporting Person is obligated to transfer any securities issued under any stock options or other awards, or the economic benefit thereof, to OrbiMed Advisors and OrbiMed Capital GP V LLC, which will in turn ensure that such securities or economic benefits are provided to OrbiMed Private Investments V-KA, LP.

Read SEC document
January 30, 2024 Filed Jan 31, 2024 21:11 UTC ArriVent BioPharma, Inc. AVBP · Entity 4699 ConversionSeries B Preferred Stock · Derivative 469,615 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-008797 · tm244611-3_4seq1.xml · derivative · entry 10

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 469,615 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: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F1 · price: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F6 · derivative.exercise_date: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.

F6 · derivative.expiration_date: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.

F3 · ownership.nature: These securities are held of record by OrbiMed Private Investments VIII, L.P. ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4 · ownership.nature: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
January 30, 2024 Filed Jan 31, 2024 21:11 UTC ArriVent BioPharma, Inc. AVBP · Entity 4699 ConversionSeries B Preferred Stock · Derivative 469,615 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-008797 · tm244611-3_4seq1.xml · derivative · entry 9

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 469,615 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: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F1 · price: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F6 · derivative.exercise_date: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.

F6 · derivative.expiration_date: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.

F2 · ownership.nature: These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP IV") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP IV. OrbiMed Advisors LLC ("OrbiMed Advisors") is the advisory company of OAP IV. By virtue of such relationships, Asia GP IV, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OAP IV.

F4 · ownership.nature: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
January 30, 2024 Filed Jan 31, 2024 21:11 UTC ArriVent BioPharma, Inc. AVBP · Entity 4699 ConversionSeries A Preferred Stock · Derivative 821,827 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-008797 · tm244611-3_4seq1.xml · derivative · entry 8

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 821,827 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: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F1 · price: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F6 · derivative.exercise_date: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.

F6 · derivative.expiration_date: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.

F3 · ownership.nature: These securities are held of record by OrbiMed Private Investments VIII, L.P. ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4 · ownership.nature: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
January 30, 2024 Filed Jan 31, 2024 21:11 UTC ArriVent BioPharma, Inc. AVBP · Entity 4699 ConversionSeries A Preferred Stock · Derivative 821,827 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-008797 · tm244611-3_4seq1.xml · derivative · entry 7

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 821,827 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: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F1 · price: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F6 · derivative.exercise_date: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.

F6 · derivative.expiration_date: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.

F2 · ownership.nature: These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP IV") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP IV. OrbiMed Advisors LLC ("OrbiMed Advisors") is the advisory company of OAP IV. By virtue of such relationships, Asia GP IV, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OAP IV.

F4 · ownership.nature: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
January 30, 2024 Filed Jan 31, 2024 21:11 UTC ArriVent BioPharma, Inc. AVBP · Entity 4699 PurchaseCommon Stock 222,222 $18.00 $3,999,996.00
Disclosure

SEC source: 0001104659-24-008797 · tm244611-3_4seq1.xml · nonDerivative · entry 6

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 1,513,664

F5 · shares: Reflects shares purchased in the Issuer's initial public offering.

F3 · ownership.nature: These securities are held of record by OrbiMed Private Investments VIII, L.P. ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4 · ownership.nature: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
January 30, 2024 Filed Jan 31, 2024 21:11 UTC ArriVent BioPharma, Inc. AVBP · Entity 4699 PurchaseCommon Stock 222,222 $18.00 $3,999,996.00
Disclosure

SEC source: 0001104659-24-008797 · tm244611-3_4seq1.xml · nonDerivative · entry 5

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 1,513,664

F5 · shares: Reflects shares purchased in the Issuer's initial public offering.

F2 · ownership.nature: These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP IV") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP IV. OrbiMed Advisors LLC ("OrbiMed Advisors") is the advisory company of OAP IV. By virtue of such relationships, Asia GP IV, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OAP IV.

F4 · ownership.nature: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
January 30, 2024 Filed Jan 31, 2024 21:11 UTC ArriVent BioPharma, Inc. AVBP · Entity 4699 ConversionCommon Stock 469,615 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-008797 · tm244611-3_4seq1.xml · nonDerivative · entry 4

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 1,291,442

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: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F3 · ownership.nature: These securities are held of record by OrbiMed Private Investments VIII, L.P. ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4 · ownership.nature: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
January 30, 2024 Filed Jan 31, 2024 21:11 UTC ArriVent BioPharma, Inc. AVBP · Entity 4699 ConversionCommon Stock 469,615 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-008797 · tm244611-3_4seq1.xml · nonDerivative · entry 3

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 1,291,442

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: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F2 · ownership.nature: These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP IV") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP IV. OrbiMed Advisors LLC ("OrbiMed Advisors") is the advisory company of OAP IV. By virtue of such relationships, Asia GP IV, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OAP IV.

F4 · ownership.nature: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
January 30, 2024 Filed Jan 31, 2024 21:11 UTC ArriVent BioPharma, Inc. AVBP · Entity 4699 ConversionCommon Stock 821,827 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-008797 · tm244611-3_4seq1.xml · nonDerivative · entry 2

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 821,827

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: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F3 · ownership.nature: These securities are held of record by OrbiMed Private Investments VIII, L.P. ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, GP VIII and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VIII and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI VIII.

F4 · ownership.nature: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
January 30, 2024 Filed Jan 31, 2024 21:11 UTC ArriVent BioPharma, Inc. AVBP · Entity 4699 ConversionCommon Stock 821,827 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-008797 · tm244611-3_4seq1.xml · nonDerivative · entry 1

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 821,827

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: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.

F2 · ownership.nature: These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP IV") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP IV. OrbiMed Advisors LLC ("OrbiMed Advisors") is the advisory company of OAP IV. By virtue of such relationships, Asia GP IV, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OAP IV.

F4 · ownership.nature: Each of OrbiMed Advisors, GP VIII, Advisors IV, Asia GP IV, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
January 25, 2024 Filed Jan 27, 2024 00:13 UTC Adicet Bio, Inc. ACET · Entity 6860 PurchaseCommon Stock 1,041,700 $2.40 $2,500,080.00
Disclosure

SEC source: 0000950170-24-008052 · ownership.xml · nonDerivative · entry 3

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 1,255,985

F1 · shares: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering.

F3 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, GP V, GP VI, Genesis GP, OrbiMed BioFund, OrbiMed Israel GP, OrbiMed Israel GP II and OrbiMed Israel II disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, OrbiMed Advisors, GP V, GP VI, Genesis, OrbiMed BioFund, OrbiMed Israel GP, OrbiMed Israel GP II or OrbiMed Israel II is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

F5 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Genesis Master Fund, L.P. ("Genesis"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of Genesis, and OrbiMed Advisors is the managing member of Genesis. By virtue of such relationships, Genesis GP and OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by Genesis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Exchange Act. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by Genesis.

Read SEC document
January 25, 2024 Filed Jan 27, 2024 00:13 UTC Adicet Bio, Inc. ACET · Entity 6860 PurchaseCommon Stock 242,200 $2.40 $581,280.00
Disclosure

SEC source: 0000950170-24-008052 · ownership.xml · nonDerivative · entry 2

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 990,254

F1 · shares: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering.

F3 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, GP V, GP VI, Genesis GP, OrbiMed BioFund, OrbiMed Israel GP, OrbiMed Israel GP II and OrbiMed Israel II disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, OrbiMed Advisors, GP V, GP VI, Genesis, OrbiMed BioFund, OrbiMed Israel GP, OrbiMed Israel GP II or OrbiMed Israel II is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

F4 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the general partner of OPI VI, and OrbiMed Advisors is the managing member of GP VI. By virtue of such relationships, GP VI and OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Exchange Act. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI VI.

Read SEC document
January 25, 2024 Filed Jan 27, 2024 00:13 UTC Adicet Bio, Inc. ACET · Entity 6860 PurchaseCommon Stock 1,841,100 $2.40 $4,418,640.00
Disclosure

SEC source: 0000950170-24-008052 · ownership.xml · nonDerivative · entry 1

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 7,526,359

F1 · shares: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering.

F2 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP V. By virtue of such relationships, GP V and OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by OPI V noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). OrbiMed Advisors exercises this investment and voting power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPI V.

F3 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, GP V, GP VI, Genesis GP, OrbiMed BioFund, OrbiMed Israel GP, OrbiMed Israel GP II and OrbiMed Israel II disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, OrbiMed Advisors, GP V, GP VI, Genesis, OrbiMed BioFund, OrbiMed Israel GP, OrbiMed Israel GP II or OrbiMed Israel II is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
August 14, 2023 Filed Aug 16, 2023 22:08 UTC Adicet Bio, Inc. ACET · Entity 6860 GrantStock Option (Right to Buy) · Derivative 26,400 $0.00 Strike: $2.14 $0.00
Disclosure

SEC source: 0001209191-23-046098 · doc4.xml · derivative · entry 8

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,400

Underlying: Common Stock · 26,400 shares

Expires 2033-05-31

F4 · derivative.exercise_price: The exercise price of the option is $2.14 per share, representing the fair market value per share of the Issuer's Common Stock on the Effective Date; provided that the repriced option will revert to its original exercise price if, prior to the first anniversary of the Effective Date, (a) the Reporting Person's service on the Issuer's Board of Directors is terminated by the Issuer with cause or by the Reporting Person or (b) the option is exercised.

F1 · kind: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · price: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F3 · derivative.exercise_date: Pursuant to agreements with OrbiMed Advisors LLC ("OrbiMed Advisors"), OrbiMed Capital GP V LLC ("GP V"), and OrbiMed Capital GP VI LLC ("GP VI"), the Reporting Person is obligated to transfer these securities, or the economic benefit thereof, to OrbiMed Advisors, GP V, and GP VI, which will in turn ensure that such securities or economic benefit are provided to OrbiMed Private Investments V, LP and OrbiMed Private Investments VI, LP.

F6 · derivative.exercise_date: The shares subject to this option shall vest in full on the earlier to occur of (a) June 1, 2024 or (b) the date of the Issuer's 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors as of the applicable vesting date.

Read SEC document
August 14, 2023 Filed Aug 16, 2023 22:08 UTC Adicet Bio, Inc. ACET · Entity 6860 Disposition to issuerStock Option (Right to Buy) · Derivative 26,400 $0.00 Strike: $5.20 $0.00
Disclosure

SEC source: 0001209191-23-046098 · doc4.xml · derivative · entry 7

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,400 shares

Expires 2033-05-31

F1 · kind: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · price: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F3 · derivative.exercise_date: Pursuant to agreements with OrbiMed Advisors LLC ("OrbiMed Advisors"), OrbiMed Capital GP V LLC ("GP V"), and OrbiMed Capital GP VI LLC ("GP VI"), the Reporting Person is obligated to transfer these securities, or the economic benefit thereof, to OrbiMed Advisors, GP V, and GP VI, which will in turn ensure that such securities or economic benefit are provided to OrbiMed Private Investments V, LP and OrbiMed Private Investments VI, LP.

F6 · derivative.exercise_date: The shares subject to this option shall vest in full on the earlier to occur of (a) June 1, 2024 or (b) the date of the Issuer's 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors as of the applicable vesting date.

Read SEC document
August 14, 2023 Filed Aug 16, 2023 22:08 UTC Adicet Bio, Inc. ACET · Entity 6860 GrantStock Option (Right to Buy) · Derivative 18,500 $0.00 Strike: $2.14 $0.00
Disclosure

SEC source: 0001209191-23-046098 · doc4.xml · derivative · entry 6

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,500

Underlying: Common Stock · 18,500 shares

Expires 2032-06-01

F4 · derivative.exercise_price: The exercise price of the option is $2.14 per share, representing the fair market value per share of the Issuer's Common Stock on the Effective Date; provided that the repriced option will revert to its original exercise price if, prior to the first anniversary of the Effective Date, (a) the Reporting Person's service on the Issuer's Board of Directors is terminated by the Issuer with cause or by the Reporting Person or (b) the option is exercised.

F1 · kind: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · price: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F3 · derivative.exercise_date: Pursuant to agreements with OrbiMed Advisors LLC ("OrbiMed Advisors"), OrbiMed Capital GP V LLC ("GP V"), and OrbiMed Capital GP VI LLC ("GP VI"), the Reporting Person is obligated to transfer these securities, or the economic benefit thereof, to OrbiMed Advisors, GP V, and GP VI, which will in turn ensure that such securities or economic benefit are provided to OrbiMed Private Investments V, LP and OrbiMed Private Investments VI, LP.

F5 · derivative.exercise_date: The shares subject to this option are fully vested and exercisable as of the date hereof.

Read SEC document
August 14, 2023 Filed Aug 16, 2023 22:08 UTC Adicet Bio, Inc. ACET · Entity 6860 Disposition to issuerStock Option (Right to Buy) · Derivative 18,500 $0.00 Strike: $11.49 $0.00
Disclosure

SEC source: 0001209191-23-046098 · doc4.xml · derivative · entry 5

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,500 shares

Expires 2032-06-01

F1 · kind: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · price: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F3 · derivative.exercise_date: Pursuant to agreements with OrbiMed Advisors LLC ("OrbiMed Advisors"), OrbiMed Capital GP V LLC ("GP V"), and OrbiMed Capital GP VI LLC ("GP VI"), the Reporting Person is obligated to transfer these securities, or the economic benefit thereof, to OrbiMed Advisors, GP V, and GP VI, which will in turn ensure that such securities or economic benefit are provided to OrbiMed Private Investments V, LP and OrbiMed Private Investments VI, LP.

F5 · derivative.exercise_date: The shares subject to this option are fully vested and exercisable as of the date hereof.

Read SEC document
August 14, 2023 Filed Aug 16, 2023 22:08 UTC Adicet Bio, Inc. ACET · Entity 6860 GrantStock Option (Right to Buy) · Derivative 18,500 $0.00 Strike: $2.14 $0.00
Disclosure

SEC source: 0001209191-23-046098 · doc4.xml · derivative · entry 4

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,500

Underlying: Common Stock · 18,500 shares

Expires 2031-04-29

F4 · derivative.exercise_price: The exercise price of the option is $2.14 per share, representing the fair market value per share of the Issuer's Common Stock on the Effective Date; provided that the repriced option will revert to its original exercise price if, prior to the first anniversary of the Effective Date, (a) the Reporting Person's service on the Issuer's Board of Directors is terminated by the Issuer with cause or by the Reporting Person or (b) the option is exercised.

F1 · kind: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · price: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F3 · derivative.exercise_date: Pursuant to agreements with OrbiMed Advisors LLC ("OrbiMed Advisors"), OrbiMed Capital GP V LLC ("GP V"), and OrbiMed Capital GP VI LLC ("GP VI"), the Reporting Person is obligated to transfer these securities, or the economic benefit thereof, to OrbiMed Advisors, GP V, and GP VI, which will in turn ensure that such securities or economic benefit are provided to OrbiMed Private Investments V, LP and OrbiMed Private Investments VI, LP.

F5 · derivative.exercise_date: The shares subject to this option are fully vested and exercisable as of the date hereof.

Read SEC document
August 14, 2023 Filed Aug 16, 2023 22:08 UTC Adicet Bio, Inc. ACET · Entity 6860 Disposition to issuerStock Option (Right to Buy) · Derivative 18,500 $0.00 Strike: $15.93 $0.00
Disclosure

SEC source: 0001209191-23-046098 · doc4.xml · derivative · entry 3

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,500 shares

Expires 2031-04-29

F1 · kind: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · price: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F3 · derivative.exercise_date: Pursuant to agreements with OrbiMed Advisors LLC ("OrbiMed Advisors"), OrbiMed Capital GP V LLC ("GP V"), and OrbiMed Capital GP VI LLC ("GP VI"), the Reporting Person is obligated to transfer these securities, or the economic benefit thereof, to OrbiMed Advisors, GP V, and GP VI, which will in turn ensure that such securities or economic benefit are provided to OrbiMed Private Investments V, LP and OrbiMed Private Investments VI, LP.

F5 · derivative.exercise_date: The shares subject to this option are fully vested and exercisable as of the date hereof.

Read SEC document
August 14, 2023 Filed Aug 16, 2023 22:08 UTC Adicet Bio, Inc. ACET · Entity 6860 GrantStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $2.14 $0.00
Disclosure

SEC source: 0001209191-23-046098 · doc4.xml · derivative · entry 2

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-09-16

F4 · derivative.exercise_price: The exercise price of the option is $2.14 per share, representing the fair market value per share of the Issuer's Common Stock on the Effective Date; provided that the repriced option will revert to its original exercise price if, prior to the first anniversary of the Effective Date, (a) the Reporting Person's service on the Issuer's Board of Directors is terminated by the Issuer with cause or by the Reporting Person or (b) the option is exercised.

F1 · kind: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · price: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F2 · derivative.exercise_date: The shares subject to this option shall vest in thirty-six (36) equal monthly installments commencing on September 17, 2020, subject to the Reporting Person's continued service on the Issuer's Board of Directors as of the applicable vesting date.

F3 · derivative.exercise_date: Pursuant to agreements with OrbiMed Advisors LLC ("OrbiMed Advisors"), OrbiMed Capital GP V LLC ("GP V"), and OrbiMed Capital GP VI LLC ("GP VI"), the Reporting Person is obligated to transfer these securities, or the economic benefit thereof, to OrbiMed Advisors, GP V, and GP VI, which will in turn ensure that such securities or economic benefit are provided to OrbiMed Private Investments V, LP and OrbiMed Private Investments VI, LP.

Read SEC document
August 14, 2023 Filed Aug 16, 2023 22:08 UTC Adicet Bio, Inc. ACET · Entity 6860 Disposition to issuerStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $16.11 $0.00
Disclosure

SEC source: 0001209191-23-046098 · doc4.xml · derivative · entry 1

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2030-09-16

F1 · kind: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · price: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F2 · derivative.exercise_date: The shares subject to this option shall vest in thirty-six (36) equal monthly installments commencing on September 17, 2020, subject to the Reporting Person's continued service on the Issuer's Board of Directors as of the applicable vesting date.

F3 · derivative.exercise_date: Pursuant to agreements with OrbiMed Advisors LLC ("OrbiMed Advisors"), OrbiMed Capital GP V LLC ("GP V"), and OrbiMed Capital GP VI LLC ("GP VI"), the Reporting Person is obligated to transfer these securities, or the economic benefit thereof, to OrbiMed Advisors, GP V, and GP VI, which will in turn ensure that such securities or economic benefit are provided to OrbiMed Private Investments V, LP and OrbiMed Private Investments VI, LP.

Read SEC document
July 17, 2023 Filed Jul 19, 2023 16:17 UTC Theseus Pharmaceuticals, Inc. THRX · Entity 94301 PurchaseCommon Stock 151,450 $3.05 $461,922.50
Disclosure

SEC source: 0000947871-23-000761 · ownership.xml · nonDerivative · entry 2

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 650,600

F1 · price: Represents the weighted average purchase price of the shares of the Issuer's common stock ("Shares") purchased, ranging from a low of $3.04 to a high of $3.05 per Share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of Shares purchased at each separate price.

F3 · ownership.nature: These Shares are held of record by OrbiMed Genesis Master Fund, L.P. ("OrbiMed Genesis"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of OrbiMed Genesis. OrbiMed Advisors is the managing member of Genesis GP. By virtue of such relationships, OrbiMed Advisors and Genesis GP may be deemed to have voting power and investment power over the securities held by OrbiMed Genesis and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OrbiMed Genesis.

F4 · ownership.nature: Each of the Reporting Person, GP VII, Genesis GP, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Person, GP VII, Genesis GP, or OrbiMed Advisors is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
July 17, 2023 Filed Jul 19, 2023 16:17 UTC Theseus Pharmaceuticals, Inc. THRX · Entity 94301 PurchaseCommon Stock 328,482 $3.05 $1,001,870.10
Disclosure

SEC source: 0000947871-23-000761 · ownership.xml · nonDerivative · entry 1

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 17,063,000

F1 · price: Represents the weighted average purchase price of the shares of the Issuer's common stock ("Shares") purchased, ranging from a low of $3.04 to a high of $3.05 per Share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of Shares purchased at each separate price.

F2 · ownership.nature: These Shares are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, OrbiMed Advisors and GP VII may be deemed to have voting power and investment power over the securities held by OPI VII and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI VII.

F4 · ownership.nature: Each of the Reporting Person, GP VII, Genesis GP, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Person, GP VII, Genesis GP, or OrbiMed Advisors is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
June 27, 2023 Filed Jun 29, 2023 20:51 UTC Adicet Bio, Inc. ACET · Entity 6860 PurchaseCommon Stock 58,000 $2.09 $121,220.00
Disclosure

SEC source: 0000947871-23-000714 · ownership.xml · nonDerivative · entry 4

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 748,054

F1 · price: Represents the weighted average purchase price of the shares of common stock purchased, ranging from a low of $2.08 to a high of $2.12 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F5 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the general partner of OPI VI, and OrbiMed Advisors is the managing member of GP VI. By virtue of such relationships, GP VI and OrbiMed Advisors may be deemed to have voting and investment power over the shares of common stock held by OPI VI and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the shares of common stock held by OPI VI.

F7 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, OrbiMed BioFund, OrbiMed Israel GP, OrbiMed Israel GP II, OrbiMed Israel II, GP V, GP VI, Genesis GP, and Erez Chimovits disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
June 27, 2023 Filed Jun 29, 2023 20:51 UTC Adicet Bio, Inc. ACET · Entity 6860 PurchaseCommon Stock 442,000 $2.09 $923,780.00
Disclosure

SEC source: 0000947871-23-000714 · ownership.xml · nonDerivative · entry 3

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 5,685,259

F1 · price: Represents the weighted average purchase price of the shares of common stock purchased, ranging from a low of $2.08 to a high of $2.12 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F4 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP V. By virtue of such relationships, GP V and OrbiMed Advisors may be deemed to have voting and investment power over the shares of common stock held by OPI V and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the shares of common stock held by OPI V.

F7 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, OrbiMed BioFund, OrbiMed Israel GP, OrbiMed Israel GP II, OrbiMed Israel II, GP V, GP VI, Genesis GP, and Erez Chimovits disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
June 27, 2023 Filed Jun 29, 2023 20:51 UTC Adicet Bio, Inc. ACET · Entity 6860 PurchaseCommon Stock 250,000 $2.09 $522,500.00
Disclosure

SEC source: 0000947871-23-000714 · ownership.xml · nonDerivative · entry 2

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 646,657

F1 · price: Represents the weighted average purchase price of the shares of common stock purchased, ranging from a low of $2.08 to a high of $2.12 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Israel Partners II, L.P. ("OIP II"). OrbiMed Israel GP II, L.P. ("OrbiMed Israel GP II") is the general partner of OIP II, and OrbiMed Advisors Israel II Limited ("OrbiMed Israel II") is the general partner of OrbiMed Israel GP II. By virtue of such relationships, OrbiMed Israel GP II and OrbiMed Israel II may be deemed to have voting and investment power over the shares of common stock held by OIP II and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Israel II exercises this investment and voting power through an investment committee comprised of the Reporting Person, David Bonita, and Erez Chimovits, each of whom disclaims beneficial ownership over the shares of common stock held by OIP II.

F7 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, OrbiMed BioFund, OrbiMed Israel GP, OrbiMed Israel GP II, OrbiMed Israel II, GP V, GP VI, Genesis GP, and Erez Chimovits disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
June 27, 2023 Filed Jun 29, 2023 20:51 UTC Adicet Bio, Inc. ACET · Entity 6860 PurchaseCommon Stock 125,000 $2.09 $261,250.00
Disclosure

SEC source: 0000947871-23-000714 · ownership.xml · nonDerivative · entry 1

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 1,027,885

F1 · price: Represents the weighted average purchase price of the shares of common stock purchased, ranging from a low of $2.08 to a high of $2.12 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F2 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Israel Partners Limited Partnership ("OIP"). OrbiMed Israel BioFund GP Limited Partnership ("OrbiMed BioFund") is the general partner of OIP, and OrbiMed Israel GP Ltd. ("OrbiMed Israel GP") is the general partner of OrbiMed BioFund. By virtue of such relationships, OrbiMed BioFund and OrbiMed Israel GP may be deemed to have voting and investment power over the shares of common stock held by OIP and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Israel GP exercises this investment and voting power through an investment committee comprised of the Reporting Person and Erez Chimovits, each of whom disclaims beneficial ownership over the shares of common stock held by OIP.

F7 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, OrbiMed BioFund, OrbiMed Israel GP, OrbiMed Israel GP II, OrbiMed Israel II, GP V, GP VI, Genesis GP, and Erez Chimovits disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
June 13, 2023 Filed Jun 13, 2023 17:29 UTC Theseus Pharmaceuticals, Inc. THRX · Entity 94301 GrantRestricted Stock Unit · Derivative 3,250 $0.00 $0.00
Disclosure

SEC source: 0001745020-23-000036 · wk-form4_1686691748.xml · derivative · entry 2

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,250

Underlying: Common Stock · 3,250 shares

Expires not disclosed

F3 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.001 per share, when vested.

F2 · derivative.exercise_date: Pursuant to an agreement with OrbiMed Advisors LLC and OrbiMed Capital GP VII LLC, the Reporting Person is obligated to transfer any securities issued under any stock options or other awards, or the economic benefit thereof, to OrbiMed Advisors LLC and OrbiMed Capital GP VII LLC, which will in turn ensure that such securities or economic benefits are provided to OrbiMed Private Investments VII, LP.

F4 · derivative.exercise_date: The RSUs are subject to a service-based vesting requirement, which shall be satisfied on the earlier of (i) June 9, 2024 or (ii) the day prior to the date of the issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service with the issuer on such vesting date. The RSUs have no expiration date.

F4 · derivative.expiration_date: The RSUs are subject to a service-based vesting requirement, which shall be satisfied on the earlier of (i) June 9, 2024 or (ii) the day prior to the date of the issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service with the issuer on such vesting date. The RSUs have no expiration date.

Read SEC document
June 13, 2023 Filed Jun 13, 2023 17:29 UTC Theseus Pharmaceuticals, Inc. THRX · Entity 94301 GrantStock Option (right to buy) · Derivative 19,500 $0.00 Strike: $9.61 $0.00
Disclosure

SEC source: 0001745020-23-000036 · wk-form4_1686691748.xml · derivative · entry 1

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,500

Underlying: Common Stock · 19,500 shares

Expires 2033-06-12

F1 · derivative.exercise_date: The options are subject to a service-based vesting requirement, which shall be satisfied on the earlier of (i) June 9, 2024 or (ii) the day prior to the date of the issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service with the issuer on such vesting date.

F2 · derivative.exercise_date: Pursuant to an agreement with OrbiMed Advisors LLC and OrbiMed Capital GP VII LLC, the Reporting Person is obligated to transfer any securities issued under any stock options or other awards, or the economic benefit thereof, to OrbiMed Advisors LLC and OrbiMed Capital GP VII LLC, which will in turn ensure that such securities or economic benefits are provided to OrbiMed Private Investments VII, LP.

Read SEC document
June 12, 2023 Filed Jun 13, 2023 18:29 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $3.48 $0.00
Disclosure

SEC source: 0001209191-23-036862 · doc4.xml · derivative · entry 1

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-12

F1 · derivative.exercise_date: 1/12th of the shares underlying the Option vest and become exercisable on a monthly basis starting July 12, 2023 (the Vest Base Date) and thereafter on the same day of the month as the Vest Base Date or if earlier, the day immediately before the date of the next Annual Meeting of Stockholders that occurs after the Vest Base Date.

F2 · ownership.direct: Pursuant to an agreement with OrbiMed Advisors LLC, OrbiMed Capital GP VII LLC, and OrbiMed Capital GP VIII LLC, the Reporting Person is obligated to transfer any securities issued under any such stock options or other awards, or the economic benefit thereof, to OrbiMed Advisors LLC, OrbiMed Capital GP VII LLC, and OrbiMed Capital GP VIII LLC, which will in turn ensure that such securities or economic benefits are provided to OrbiMed Private Investments VII, LP and OrbiMed Private Investments VIII, LP.

Read SEC document
June 12, 2023 Filed Jun 14, 2023 23:01 UTC Terns Pharmaceuticals, Inc. TERN · Entity 49595 GrantStock Option (Right to Buy) · Derivative 32,000 $0.00 Strike: $12.05 $0.00
Disclosure

SEC source: 0001562180-23-005169 · primarydocument.xml · derivative · entry 1

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,000

Underlying: Common Stock · 32,000 shares

Expires 2033-06-11

F1 · derivative.exercise_date: The option will vest in full on the earlier of (i) the first anniversary of the date of grant and (ii) immediately prior to the Annual Meeting following the date of grant.

F2 · ownership.direct: Pursuant to an agreement with OrbiMed Advisors LLC, OrbiMed Asia GP III, L.P., OrbiMed Advisors III Limited, and OrbiMed Capital GP VII LLC, the Reporting Person is obligated to transfer any securities issued under any such stock options or other awards, or the economic benefit thereof, to OrbiMed Advisors LLC, OrbiMed Asia GP III, L.P., OrbiMed Advisors III Limited, and OrbiMed Capital GP VII LLC, which will in turn ensure that such securities or economic benefits are provided to OrbiMed Asia Partners III, L.P. and OrbiMed Private Investments VII, LP.

Read SEC document
June 06, 2023 Filed Jun 8, 2023 20:48 UTC Keros Therapeutics, Inc. KROS · Entity 6242 GrantStock Option (right to buy) · Derivative 10,000 $0.00 Strike: $48.79 $0.00
Disclosure

SEC source: 0001209191-23-035464 · doc4.xml · derivative · entry 1

GORDON CARL L · CIK 0001282930 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2033-06-05

F1 · derivative.exercise_date: The option shall vest in equal quarterly installments over the 12 months following the date of grant, provided that the grant will in any case be fully vested on the date of Issuer's 2024 annual meeting of stockholders, subject to the Reporting Person continuing to provide service through each such date.

F2 · balance_after: Pursuant to an agreement with OrbiMed Advisors LLC and OrbiMed Capital GP VII LLC, the Reporting Person is obligated to transfer any securities issued under any such stock options or other awards, or the economic benefit thereof, to OrbiMed Advisors LLC and OrbiMed Capital GP VII LLC, which will in turn ensure that such securities or economic benefits are provided to OrbiMed Private Investments VII, LP.

Read SEC document
June 01, 2023 Filed Jun 2, 2023 21:47 UTC Adicet Bio, Inc. ACET · Entity 6860 GrantStock Option (Right to Buy) · Derivative 26,400 $0.00 Strike: $5.20 $0.00
Disclosure

SEC source: 0001209191-23-033957 · doc4.xml · derivative · entry 2

GORDON CARL L · CIK 0001282930 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,400

Underlying: Common Stock · 26,400 shares

Expires 2033-05-31

F2 · derivative.exercise_date: These shares shall vest in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the grant date, subject to the Reporting Person's continued service on the Issuer's board of directors.

Read SEC document
June 01, 2023 Filed Jun 2, 2023 21:47 UTC Adicet Bio, Inc. ACET · Entity 6860 GrantCommon Stock 5,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-033957 · doc4.xml · nonDerivative · entry 1

GORDON CARL L · CIK 0001282930 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,900

F1 · shares: The Reporting Person was issued Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of Common Stock. The RSUs shall vest in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the grant date, subject to the Reporting Person's continued service on the Issuer's board of directors. The RSUs may be settled only by delivering shares of Common Stock, and thus, the grant is being reported in Table I as allowed per SEC guidance.

Read SEC document
May 05, 2023 Filed May 8, 2023 17:11 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 PurchaseCommon Stock 490,511 $2.82 $1,383,241.02
Disclosure

SEC source: 0000947871-23-000540 · ownership.xml · nonDerivative · entry 5

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 1,368,338

F2 · price: Represents the weighted average purchase price of the shares of common stock purchased, ranging from a low of $2.80 to a high of $2.89 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F5 · ownership.nature: These securities are held of record by OrbiMed Private Investments VIII, LP ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. By virtue of such relationships, OrbiMed Advisors and GP VIII may be deemed to have voting power and investment power over the securities held by OPI VIII and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI VIII.

F8 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, Advisors IV, GP VIII, Asia GP, GP VII, OrbiMed Genesis, and OrbiMed Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
May 05, 2023 Filed May 8, 2023 17:11 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 PurchaseCommon Stock 490,512 $2.82 $1,383,243.84
Disclosure

SEC source: 0000947871-23-000540 · ownership.xml · nonDerivative · entry 4

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 1,368,339

F2 · price: Represents the weighted average purchase price of the shares of common stock purchased, ranging from a low of $2.80 to a high of $2.89 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the advisory company of OAP IV. By virtue of such relationships, Asia GP, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the securities held by OAP IV.

F8 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, Advisors IV, GP VIII, Asia GP, GP VII, OrbiMed Genesis, and OrbiMed Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
May 04, 2023 Filed May 8, 2023 17:11 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 PurchaseCommon Stock 83,459 $2.75 $229,512.25
Disclosure

SEC source: 0000947871-23-000540 · ownership.xml · nonDerivative · entry 3

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 877,827

F1 · price: Represents the weighted average purchase price of the shares of common stock purchased, ranging from a low of $2.75 to a high of $2.86 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F5 · ownership.nature: These securities are held of record by OrbiMed Private Investments VIII, LP ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. By virtue of such relationships, OrbiMed Advisors and GP VIII may be deemed to have voting power and investment power over the securities held by OPI VIII and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI VIII.

F8 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, Advisors IV, GP VIII, Asia GP, GP VII, OrbiMed Genesis, and OrbiMed Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
May 04, 2023 Filed May 8, 2023 17:11 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 PurchaseCommon Stock 312,991 $2.75 $860,725.25
Disclosure

SEC source: 0000947871-23-000540 · ownership.xml · nonDerivative · entry 2

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 4,738,453

F1 · price: Represents the weighted average purchase price of the shares of common stock purchased, ranging from a low of $2.75 to a high of $2.86 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F4 · ownership.nature: These securities are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII and OrbiMed Advisors is the managing member of GP VII. By virtue of such relationships, OrbiMed Advisors and GP VII may be deemed to have voting power and investment power over the securities held by OPI VII and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI VII.

F8 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, Advisors IV, GP VIII, Asia GP, GP VII, OrbiMed Genesis, and OrbiMed Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
May 04, 2023 Filed May 8, 2023 17:11 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 PurchaseCommon Stock 83,459 $2.75 $229,512.25
Disclosure

SEC source: 0000947871-23-000540 · ownership.xml · nonDerivative · entry 1

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 877,827

F1 · price: Represents the weighted average purchase price of the shares of common stock purchased, ranging from a low of $2.75 to a high of $2.86 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: These securities are held of record by OrbiMed Asia Partners IV, L.P. ("OAP IV"). OrbiMed Asia GP IV, L.P. ("Asia GP") is the general partner of OAP IV and OrbiMed Advisors IV Limited ("Advisors IV") is the general partner of Asia GP. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the advisory company of OAP IV. By virtue of such relationships, Asia GP, Advisors IV, and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OAP IV and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the securities held by OAP IV.

F8 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, Advisors IV, GP VIII, Asia GP, GP VII, OrbiMed Genesis, and OrbiMed Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
May 02, 2023 Filed May 2, 2023 21:38 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 PurchaseCommon Stock 58,826 $2.67 $157,065.42
Disclosure

SEC source: 0000947871-23-000516 · ownership.xml · nonDerivative · entry 9

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 794,368

F5 · price: Represents the weighted average purchase price of the shares of common stock purchased, ranging from a low of $2.57 to a high of $2.82 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: These securities are held of record by OrbiMed Private Investments VIII, LP ("OPI VIII"). OrbiMed Capital GP VIII LLC ("GP VIII") is the general partner of OPI VIII and OrbiMed Advisors is the managing member of GP VIII. By virtue of such relationships, OrbiMed Advisors and GP VIII may be deemed to have voting power and investment power over the securities held by OPI VIII and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI VIII.

F8 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, Advisors IV, GP VIII, Asia GP, GP VII, OrbiMed Genesis, and OrbiMed Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
May 02, 2023 Filed May 2, 2023 21:38 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 PurchaseCommon Stock 220,610 $2.67 $589,028.70
Disclosure

SEC source: 0000947871-23-000516 · ownership.xml · nonDerivative · entry 8

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 4,425,462

F5 · price: Represents the weighted average purchase price of the shares of common stock purchased, ranging from a low of $2.57 to a high of $2.82 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

F2 · ownership.nature: These securities are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII and OrbiMed Advisors is the managing member of GP VII. By virtue of such relationships, OrbiMed Advisors and GP VII may be deemed to have voting power and investment power over the securities held by OPI VII and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI VII.

F8 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, Advisors IV, GP VIII, Asia GP, GP VII, OrbiMed Genesis, and OrbiMed Capital disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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.