organization · Reporting owner

5AM Opportunities I, L.P.

Disclosed activity across 12 companies

Tapewire entity: 25025
SEC CIK: 0001753000

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
IPI Legacy Liquidation CoIMPL · Entity 15659	10% owner	April 27, 2021	April 30, 2021
Rallybio CorpRLYB · Entity 6838	10% owner	June 03, 2022	June 07, 2022
Vor Biopharma Inc.VOR · Entity 4763	10% owner	November 16, 2021	November 19, 2021

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.

IPI Legacy Liquidation Co

Report date April 27, 2021 · Filed April 30, 2021

Jointly reported with 5AM Ventures V, L.P., 5AM Partners V, LLC, PARMAR KUSH, ROCKLAGE SCOTT M, Schwab Andrew J., 5AM Opportunities I (GP), LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	808,259	Reported balance After 2021-04-27 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-04-27 · Conversion · Acquired 808,259 · Balance 808,259 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	1,348,524	Reported balance After 2021-04-27 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2021-04-27 · Conversion · Acquired 540,265 · Balance 1,348,524 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	1,849,456	Reported balance After 2021-04-27 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2021-04-27 · Conversion · Acquired 500,932 · Balance 1,849,456 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	2,208,334	Reported balance After 2021-04-27 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2021-04-27 · Conversion · Acquired 358,878 · Balance 2,208,334 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	2,309,791	Reported balance After 2021-04-27 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 5 · 2021-04-27 · Conversion · Acquired 101,457 · Balance 2,309,791 F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	575,000	Reported balance After 2021-04-27 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 6 · 2021-04-27 · Purchase · Acquired 575,000 · Balance 575,000 F3: The shares are directly held by 5AM Opportunities I, L.P ("Opportunities LP"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities LP. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities LP. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares held directly by Opportunities LP, except to the extent of its or his pecuniary interest therein.
Series C-1 Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2021-04-27 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2021-04-27 · Conversion · Disposed 13,233,885 · Balance 0 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Series C-2 Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2021-04-27 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2021-04-27 · Conversion · Disposed 8,845,942 · Balance 0 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Series C-3 Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2021-04-27 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2021-04-27 · Conversion · Disposed 8,201,930 · Balance 0 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Series D Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2021-04-27 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2021-04-27 · Conversion · Disposed 5,876,034 · Balance 0 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
5% Convertible Note due 2021SEC Table II · derivative / convertible security · Conversion / exercise price $13.50 · Expires 2021-12-31	IndirectSee Footnote	0	Reported balance After 2021-04-27 transaction · row 11 Instrument identity requires review; Table II rows are not merged. 1 source row Row 11 · 2021-04-27 · Conversion · Disposed 1,359,799.28 · Balance 0 F4: Represents the principal amount of the Note. F5: The outstanding principal and accrued interest on the convertible promissory note automatically converted into shares of Common Stock upon the closing of the IPO at a conversion price of $13.50 per share. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date.

F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

F3: The shares are directly held by 5AM Opportunities I, L.P ("Opportunities LP"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities LP. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities LP. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares held directly by Opportunities LP, except to the extent of its or his pecuniary interest therein.

F4: Represents the principal amount of the Note.

F5: The outstanding principal and accrued interest on the convertible promissory note automatically converted into shares of Common Stock upon the closing of the IPO at a conversion price of $13.50 per share.

Rallybio Corp

Report date June 03, 2022 · Filed June 07, 2022

Jointly reported with Schwab Andrew J., 5AM Opportunities I (GP), LLC, 5AM Partners V, LLC, 5AM Ventures V, L.P., ROCKLAGE SCOTT M

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy 5AM Opportunities I, L.P.	1,251,755	Reported balance After 2022-06-03 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2022-06-03 · Sale · Disposed 50,329 · Balance 1,251,755 F1: Shares are held by 5AM Opportunities I, L.P. ("Opportunities I"). 5AM Opportunities I (GP), LLC is the general partner of Opportunities I and may be deemed to have sole investment and voting power over the shares held by Opportunities I. Each of Andrew Schwab and Dr. Kush Parmar is a Managing Member of 5AM Opportunities I (GP), LLC, and may be deemed to have shared voting and dispositive power over the shares held by Opportunities I. Therefore, each of Andrew Schwab, Dr. Kush Parmar and 5AM Opportunities I(GP), LLC may be deemed to beneficially own the shares held by Opportunities I, and each disclaims beneficial ownership over the shares held by Opportunities I except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports.
Common StockSEC Table I · non-derivative	IndirectBy 5AM Ventures V, L.P.	2,478,969	Reported balance After 2022-06-03 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2022-06-03 · Sale · Disposed 99,671 · Balance 2,478,969 F2: Shares are held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC is the general partner of Ventures V and may be deemed to have sole investment and voting power over the shares held by Ventures V. Each of Andrew Schwab, Dr. Kush Parmar and Dr. Scott Rocklage is a Managing Member of 5AM Partners V, LLC, and may be deemed to have shared voting and dispositive power over the shares held by Ventures V. Therefore, each of Andrew Schwab, Dr. Kush Parmar, Dr. Scott Rocklage, and 5AM Partners V, LLC may be deemed to beneficially own the shares held by Ventures V, and each disclaims beneficial ownership over the shares held by Ventures V except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports.

Filing footnotes · ownership attribution and instrument terms

F1: Shares are held by 5AM Opportunities I, L.P. ("Opportunities I"). 5AM Opportunities I (GP), LLC is the general partner of Opportunities I and may be deemed to have sole investment and voting power over the shares held by Opportunities I. Each of Andrew Schwab and Dr. Kush Parmar is a Managing Member of 5AM Opportunities I (GP), LLC, and may be deemed to have shared voting and dispositive power over the shares held by Opportunities I. Therefore, each of Andrew Schwab, Dr. Kush Parmar and 5AM Opportunities I(GP), LLC may be deemed to beneficially own the shares held by Opportunities I, and each disclaims beneficial ownership over the shares held by Opportunities I except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports.

F2: Shares are held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC is the general partner of Ventures V and may be deemed to have sole investment and voting power over the shares held by Ventures V. Each of Andrew Schwab, Dr. Kush Parmar and Dr. Scott Rocklage is a Managing Member of 5AM Partners V, LLC, and may be deemed to have shared voting and dispositive power over the shares held by Ventures V. Therefore, each of Andrew Schwab, Dr. Kush Parmar, Dr. Scott Rocklage, and 5AM Partners V, LLC may be deemed to beneficially own the shares held by Ventures V, and each disclaims beneficial ownership over the shares held by Ventures V except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports.

Vor Biopharma Inc.

Report date November 16, 2021 · Filed November 19, 2021

Jointly reported with 5AM Ventures VI, L.P., 5AM Partners VI, LLC, 5AM Opportunities I (GP), LLC, Schwab Andrew J.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	4,595,089	Reported balance After 2021-11-16 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-11-16 · Sale · Disposed 238,870 · Balance 4,595,089 F1: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by Ventures VI, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports.
Common StockSEC Table I · non-derivative	IndirectSee footnote	1,766,634	Reported balance After 2021-11-16 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2021-11-16 · Sale · Disposed 91,836 · Balance 1,766,634 F2: The shares are directly held by 5AM Opportunities I, L.P ("Opportunities LP"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities LP. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities LP. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities LP, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports.

Filing footnotes · ownership attribution and instrument terms

F1: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by Ventures VI, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports.

F2: The shares are directly held by 5AM Opportunities I, L.P ("Opportunities LP"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities LP. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities LP. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities LP, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the issuer and files separate Section 16 reports.

Past disclosures · reporting ended (9)

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

Akouos, Inc.

Report date November 30, 2022 · Filed December 02, 2022

Jointly reported with 5AM Ventures V, L.P., 5AM Partners V, LLC, 5AM Opportunities I (GP), LLC, ROCKLAGE SCOTT M, Schwab Andrew J.

Section 16 reporting ended · disclosed 2022-12-02. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy 5AM Ventures V, L.P.	0	Reported balance After 2022-11-30 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2022-11-30 · Other · Disposed 3,153,333 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for... F2: (cont. from footnote 1)...(i) $12.50 per Share, net to the stockholder in cash, without interest (the "Cash Consideration") and less any applicable tax withholding, plus (ii) one non-tradable contingent value right ("CVR") per Share, which represents the contractual right to receive contingent payments of up to $3.00 per CVR, net to the stockholder in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a Contingent Value Rights Agreement, dated as of November 30, 2022, by and among Parent, Merger Sub, Computershare Inc. and Computershare Trust Company, N.A. F3: Shares are held directly by 5AM Ventures V, L.P. ("Ventures V"). F4: 5AM Partners V, LLC ("Partners V") is the general partner of Ventures V and may be deemed to have sole investment and voting power over the shares held by Ventures V. Each of Andrew Schwab, Dr. Kush Parmar and Dr. Scott Rocklage is a Managing Member of Partners V, and may be deemed to have shared voting and dispositive power over the shares held by Ventures V. Therefore, each of Mr. Schwab, Dr. Parmar, Dr. Rocklage, and Partners V may be deemed to beneficially own the shares held by Ventures V. Each of Mr. Schwab, Dr. Rocklage, and Partners V disclaims beneficial ownership over the shares held by Ventures V except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports.
Common StockSEC Table I · non-derivative	Indirect5AM Opportunities I, L.P.	0	Reported balance After 2022-11-30 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2022-11-30 · Other · Disposed 982,453 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for... F2: (cont. from footnote 1)...(i) $12.50 per Share, net to the stockholder in cash, without interest (the "Cash Consideration") and less any applicable tax withholding, plus (ii) one non-tradable contingent value right ("CVR") per Share, which represents the contractual right to receive contingent payments of up to $3.00 per CVR, net to the stockholder in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a Contingent Value Rights Agreement, dated as of November 30, 2022, by and among Parent, Merger Sub, Computershare Inc. and Computershare Trust Company, N.A. F5: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the general partner of 5AM Opportunities I, L.P. ("Opportunities I") and may be deemed to have sole investment and voting power over the shares held by Opportunities I. Each of Andrew Schwab and Dr. Kush Parmar is a Managing Member of Opportunities GP, and may be deemed to have shared voting and dispositive power over the shares held by Opportunities I. Therefore, each of Mr. Schwab, Dr. Parmar and Opportunities GP may be deemed to beneficially own the shares held by Opportunities I. Each of Mr. Schwab and Opportunities GP disclaims beneficial ownership over the shares held by Opportunities I except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports. F6: Shares are held directly by Opportunities I.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for...

F2: (cont. from footnote 1)...(i) $12.50 per Share, net to the stockholder in cash, without interest (the "Cash Consideration") and less any applicable tax withholding, plus (ii) one non-tradable contingent value right ("CVR") per Share, which represents the contractual right to receive contingent payments of up to $3.00 per CVR, net to the stockholder in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a Contingent Value Rights Agreement, dated as of November 30, 2022, by and among Parent, Merger Sub, Computershare Inc. and Computershare Trust Company, N.A.

F3: Shares are held directly by 5AM Ventures V, L.P. ("Ventures V").

F4: 5AM Partners V, LLC ("Partners V") is the general partner of Ventures V and may be deemed to have sole investment and voting power over the shares held by Ventures V. Each of Andrew Schwab, Dr. Kush Parmar and Dr. Scott Rocklage is a Managing Member of Partners V, and may be deemed to have shared voting and dispositive power over the shares held by Ventures V. Therefore, each of Mr. Schwab, Dr. Parmar, Dr. Rocklage, and Partners V may be deemed to beneficially own the shares held by Ventures V. Each of Mr. Schwab, Dr. Rocklage, and Partners V disclaims beneficial ownership over the shares held by Ventures V except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports.

F5: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the general partner of 5AM Opportunities I, L.P. ("Opportunities I") and may be deemed to have sole investment and voting power over the shares held by Opportunities I. Each of Andrew Schwab and Dr. Kush Parmar is a Managing Member of Opportunities GP, and may be deemed to have shared voting and dispositive power over the shares held by Opportunities I. Therefore, each of Mr. Schwab, Dr. Parmar and Opportunities GP may be deemed to beneficially own the shares held by Opportunities I. Each of Mr. Schwab and Opportunities GP disclaims beneficial ownership over the shares held by Opportunities I except to the extent of his or its pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports.

F6: Shares are held directly by Opportunities I.

Aprea Therapeutics, Inc.

Report date October 05, 2020 · Filed October 08, 2020

Jointly reported with 5AM Ventures IV, L.P., 5AM Co-Investors IV, L.P., 5AM Partners IV, LLC, 5AM Opportunities I (GP), LLC, DIEKMAN JOHN D, Schwab Andrew J., PARMAR KUSH, ROCKLAGE SCOTT M

Section 16 reporting ended · disclosed 2020-10-08. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnotes	138,497	Reported balance After 2020-10-05 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2020-10-05 · Sale · Disposed 175,000 · Balance 138,497 F1: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4. F2: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnotes	1,823,192	Reported balance Holding disclosure · report date 2020-10-05 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 1,823,192 F3: Shares are held directly by 5AM Ventures IV, L.P. F4: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnotes	75,965	Reported balance Holding disclosure · report date 2020-10-05 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 75,965 F5: Shares are held directly by 5AM Co-Investors IV, L.P. F4: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4.

F2: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein.

F3: Shares are held directly by 5AM Ventures IV, L.P.

F4: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein.

F5: Shares are held directly by 5AM Co-Investors IV, L.P.

Cabaletta Bio, Inc.

Report date November 01, 2021 · Filed November 03, 2021

Jointly reported with 5AM Ventures V, L.P., 5AM Opportunities I (GP), LLC, 5AM Partners V, LLC, PARMAR KUSH, ROCKLAGE SCOTT M, Schwab Andrew J.

Section 16 reporting ended · disclosed 2021-11-03. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnotes	1,731,119	Reported balance After 2021-11-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-11-01 · Sale · Disposed 258,456 · Balance 1,731,119 F1: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock held by 5AM V, except to the extent of its or his pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnotes	333,144	Reported balance After 2021-11-01 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2021-11-01 · Sale · Disposed 36,544 · Balance 333,144 F2: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock held by 5AM V, except to the extent of its or his pecuniary interest therein.

F2: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein.

CinCor Pharma, Inc.

Report date February 24, 2023 · Filed February 28, 2023

Jointly reported with 5AM Partners VI, LLC, 5AM Ventures VI, L.P., Schwab Andrew J., PARMAR KUSH, 5AM Opportunities II (GP), LLC, 5AM Opportunities II, L.P., 5AM Opportunities I (GP), LLC

Section 16 reporting ended · disclosed 2023-02-28. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy 5AM Ventures VI, L.P.	Reported balance After 2023-02-24 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-02-24 · Other · Disposed 3,953,990 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (2)] F2: [continues from footnote (1)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F3: Shares are held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectBy 5AM Opportunities II, L.P.	Reported balance After 2023-02-24 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2023-02-24 · Other · Disposed 487,333 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (2)] F2: [continues from footnote (1)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F4: Shares are held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the sole general partner of Opportunities II. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II. Each of Opportunities II GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectBy 5AM Opportunities I, L.P.	Reported balance After 2023-02-24 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2023-02-24 · Other · Disposed 496,323 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (2)] F2: [continues from footnote (1)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F5: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (2)]

F2: [continues from footnote (1)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price.

F3: Shares are held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

F4: Shares are held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the sole general partner of Opportunities II. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II. Each of Opportunities II GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

F5: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

Enliven Therapeutics, Inc.

Report date February 14, 2024 · Filed February 16, 2024

Jointly reported with 5AM Partners VI, LLC, 5AM Ventures VI, L.P., 5AM Opportunities I (GP), LLC, PARMAR KUSH, Schwab Andrew J.

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

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy 5AMVentures VI, L.P.	3,200,634	Reported balance After 2024-02-14 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2024-02-14 · Sale · Disposed 688,358 · Balance 3,200,634 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.89 to $14.93 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectBy 5AM Opportunities I, L.P.	635,341	Reported balance After 2024-02-14 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2024-02-14 · Sale · Disposed 136,642 · Balance 635,341 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.89 to $14.93 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3: The shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his respective pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.89 to $14.93 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.

F3: The shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his respective pecuniary interest therein.

Entrada Therapeutics, Inc.

Report date August 06, 2026 · Filed August 10, 2026

Jointly reported with 5AM Ventures V, L.P., 5AM Partners V, LLC, 5AM Opportunities I (GP), LLC, ROCKLAGE SCOTT M, Schwab Andrew J.

Section 16 reporting ended · disclosed 2026-08-10. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	2,783,781	Last balance in matching sequence After 2026-08-07 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2026-08-06 · Sale · Disposed 10,494 · Balance 2,836,098 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.90 to $7.11 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock held by 5AM V, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports. Row 2 · 2026-08-07 · Sale · Disposed 52,317 · Balance 2,783,781 F3: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $6.80 to $7.01 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote. F2: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock held by 5AM V, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports.
Common StockSEC Table I · non-derivative	IndirectBy 5AM Opportunities I, L.P.	1,093,313	Reported balance Holding disclosure · report date 2026-08-06 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 1,093,313 F4: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.90 to $7.11 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock held by 5AM V, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports.

F3: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $6.80 to $7.01 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F4: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein. Dr. Parmar is a director of the Issuer and files separate Section 16 reports.

IDEAYA Biosciences, Inc.

Report date November 11, 2020 · Filed November 14, 2020

Jointly reported with 5AM Ventures IV, L.P., 5AM Co-Investors IV, L.P., 5AM Partners IV, LLC, 5AM Opportunities I (GP), LLC, DIEKMAN JOHN D, Schwab Andrew J., ROCKLAGE SCOTT M

Section 16 reporting ended · disclosed 2020-11-14. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	2,187,428	Reported balance After 2020-11-11 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2020-11-11 · Sale · Disposed 657,117 · Balance 2,187,428 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.75 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	91,142	Reported balance After 2020-11-11 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2020-11-11 · Sale · Disposed 27,379 · Balance 91,142 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.75 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV" and, collectively with Ventures IV, the "5AM IV Funds"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	384,496	Reported balance After 2020-11-11 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2020-11-11 · Sale · Disposed 115,504 · Balance 384,496 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.75 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F4: The shares are held by 5AM Opportunities I, L.P. ("Opportunities I"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities I expressly disclaim status as a "group" for purposes of this Form 4. 5AM Opportunities I (GP), LLC ("Opportunities I GP") is the sole general partner of Opportunities I. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities I GP, and have shared voting and investment power over the shares beneficially owned by Opportunities I. Each of Opportunities I GP and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.75 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.

F3: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV" and, collectively with Ventures IV, the "5AM IV Funds"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.

F4: The shares are held by 5AM Opportunities I, L.P. ("Opportunities I"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities I expressly disclaim status as a "group" for purposes of this Form 4. 5AM Opportunities I (GP), LLC ("Opportunities I GP") is the sole general partner of Opportunities I. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities I GP, and have shared voting and investment power over the shares beneficially owned by Opportunities I. Each of Opportunities I GP and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

Pear Therapeutics, Inc.

Report date April 10, 2023 · Filed April 12, 2023

Jointly reported with 5AM Partners IV, LLC, 5AM Ventures IV, L.P., 5AM Co-Investors IV, L.P., 5AM Opportunities I (GP), LLC, DIEKMAN JOHN D, ROCKLAGE SCOTT M, Schwab Andrew J.

Section 16 reporting ended · disclosed 2023-04-12. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	IndirectBy 5AM Ventures IV, L.P.	0	Reported balance After 2023-04-10 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-04-10 · Sale · Disposed 12,836,489 · Balance 0 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.11 to $0.19 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.
Class A Common StockSEC Table I · non-derivative	IndirectBy 5AM Co-Investors IV, L.P.	0	Reported balance After 2023-04-10 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2023-04-10 · Sale · Disposed 534,855 · Balance 0 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.11 to $0.19 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.
Class A Common StockSEC Table I · non-derivative	IndirectBy 5AM Opportunities I, L.P.	200,000	Reported balance After 2023-04-10 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2023-04-10 · Sale · Disposed 3,172,769 · Balance 200,000 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.11 to $0.19 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F4: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.11 to $0.19 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.

F3: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.

F4: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein.

scPharmaceuticals Inc.

Report date October 06, 2022 · Filed October 11, 2022

Jointly reported with 5AM Partners IV, LLC, 5AM Co-Investors IV, L.P., 5AM Opportunities I (GP), LLC, 5AM Ventures IV, L.P., DIEKMAN JOHN D, ROCKLAGE SCOTT M, Schwab Andrew J.

Section 16 reporting ended · disclosed 2022-10-11. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy 5AM Ventures IV, L.P.	2,231,601	Last balance in matching sequence After 2022-10-10 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2022-10-06 · Sale · Disposed 30,457 · Balance 2,688,014 F1: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Row 4 · 2022-10-10 · Sale · Disposed 456,413 · Balance 2,231,601 F1: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectBy 5AM Co-Investors IV, L.P.	92,983	Last balance in matching sequence After 2022-10-10 transaction · row 5 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 2 · 2022-10-06 · Sale · Disposed 1,269 · Balance 112,000 F2: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Row 5 · 2022-10-10 · Sale · Disposed 19,017 · Balance 92,983 F2: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectBy 5AM Opportunities I, L.P.	410,268	Last balance in matching sequence After 2022-10-10 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 3 · 2022-10-06 · Sale · Disposed 5,808 · Balance 497,304 F3: Shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein. Row 6 · 2022-10-10 · Sale · Disposed 87,036 · Balance 410,268 F3: Shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

F2: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

F3: Shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein.

Transaction history

JSON API

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 date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
June 11, 2020 Filed Jun 16, 2020 01:12 UTC	Aprea Therapeutics, Inc. APRE · Entity 7948	SaleCommon Stock	235,200	$28.75	$6,762,635.04	Disclosure SEC source: 0001209191-20-036845 · doc4.xml · nonDerivative · entry 1 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,938,549 F1 · ownership.direct: Shares are held directly by 5AM Ventures IV, L.P. F2 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F1 · ownership.nature: Shares are held directly by 5AM Ventures IV, L.P. F2 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document
May 19, 2020 Filed May 22, 2020 01:31 UTC	Aprea Therapeutics, Inc. APRE · Entity 7948	SaleCommon Stock	10,200	$35.15	$358,530.00	Disclosure SEC source: 0001209191-20-031545 · doc4.xml · nonDerivative · entry 2 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 90,572 F2 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F3 · ownership.direct: Shares are held directly by 5AM Co-Investors IV, L.P. F2 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F3 · ownership.nature: Shares are held directly by 5AM Co-Investors IV, L.P. Read SEC document
May 19, 2020 Filed May 22, 2020 01:31 UTC	Aprea Therapeutics, Inc. APRE · Entity 7948	SaleCommon Stock	244,800	$35.15	$8,604,720.00	Disclosure SEC source: 0001209191-20-031545 · doc4.xml · nonDerivative · entry 1 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,173,748 F1 · ownership.direct: Shares are held directly by 5AM Ventures IV, L.P. F2 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F1 · ownership.nature: Shares are held directly by 5AM Ventures IV, L.P. F2 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document
October 29, 2019 Filed Oct 31, 2019 22:03 UTC	Cabaletta Bio, Inc. CABA · Entity 5418	ConversionSeries B Preferred Stock · Derivative	1,675,532	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-058504 · a4.xml · derivative · entry 4 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,117,021 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: These shares of Series A Preferred Stock and Series B Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Voting Common Stock ("Common Stock"), on a 1-for-1.5 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · price: These shares of Series A Preferred Stock and Series B Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Voting Common Stock ("Common Stock"), on a 1-for-1.5 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: These shares of Series A Preferred Stock and Series B Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Voting Common Stock ("Common Stock"), on a 1-for-1.5 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: These shares of Series A Preferred Stock and Series B Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Voting Common Stock ("Common Stock"), on a 1-for-1.5 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F2 · ownership.direct: Shares are held directly by 5AM Ventures V, L.P. ("5AM V"). F3 · ownership.direct: 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Preferred Stock held directly by 5AM V, except to the extent of its or his pecuniary interest therein. F2 · ownership.nature: Shares are held directly by 5AM Ventures V, L.P. ("5AM V"). F3 · ownership.nature: 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Preferred Stock held directly by 5AM V, except to the extent of its or his pecuniary interest therein. Read SEC document
October 29, 2019 Filed Oct 31, 2019 22:03 UTC	Cabaletta Bio, Inc. CABA · Entity 5418	ConversionSeries A Preferred Stock · Derivative	3,146,551	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-058504 · a4.xml · derivative · entry 3 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 2,097,700 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: These shares of Series A Preferred Stock and Series B Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Voting Common Stock ("Common Stock"), on a 1-for-1.5 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · price: These shares of Series A Preferred Stock and Series B Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Voting Common Stock ("Common Stock"), on a 1-for-1.5 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: These shares of Series A Preferred Stock and Series B Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Voting Common Stock ("Common Stock"), on a 1-for-1.5 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: These shares of Series A Preferred Stock and Series B Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Voting Common Stock ("Common Stock"), on a 1-for-1.5 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F2 · ownership.direct: Shares are held directly by 5AM Ventures V, L.P. ("5AM V"). F3 · ownership.direct: 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Preferred Stock held directly by 5AM V, except to the extent of its or his pecuniary interest therein. F2 · ownership.nature: Shares are held directly by 5AM Ventures V, L.P. ("5AM V"). F3 · ownership.nature: 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Preferred Stock held directly by 5AM V, except to the extent of its or his pecuniary interest therein. Read SEC document
October 29, 2019 Filed Oct 31, 2019 22:03 UTC	Cabaletta Bio, Inc. CABA · Entity 5418	PurchaseCommon Stock	454,545	$11.00	$4,999,995.00	Disclosure SEC source: 0001104659-19-058504 · a4.xml · nonDerivative · entry 2 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 454,545 F4 · ownership.direct: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"). F5 · ownership.direct: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein. F4 · ownership.nature: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"). F5 · ownership.nature: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein. Read SEC document
October 29, 2019 Filed Oct 31, 2019 22:03 UTC	Cabaletta Bio, Inc. CABA · Entity 5418	ConversionCommon Stock	3,214,721	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-058504 · a4.xml · nonDerivative · entry 1 5AM Ventures V, L.P. · CIK 0001674324 · 10% owner 5AM Partners V, LLC · CIK 0001791889 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 3,214,721 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: These shares of Series A Preferred Stock and Series B Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Voting Common Stock ("Common Stock"), on a 1-for-1.5 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F2 · ownership.direct: Shares are held directly by 5AM Ventures V, L.P. ("5AM V"). F3 · ownership.direct: 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Preferred Stock held directly by 5AM V, except to the extent of its or his pecuniary interest therein. F2 · ownership.nature: Shares are held directly by 5AM Ventures V, L.P. ("5AM V"). F3 · ownership.nature: 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Preferred Stock held directly by 5AM V, except to the extent of its or his pecuniary interest therein. Read SEC document
October 07, 2019 Filed Oct 9, 2019 22:23 UTC	Aprea Therapeutics, Inc. APRE · Entity 7948	ConversionSeries C Convertible Preferred Stock · Derivative	20,519	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-053617 · a4.xml · derivative · entry 9 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 20,519 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: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · price: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F3 · ownership.direct: Shares are held directly by 5AM Co-Investors IV, L.P. F4 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F3 · ownership.nature: Shares are held directly by 5AM Co-Investors IV, L.P. F4 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document
October 07, 2019 Filed Oct 9, 2019 22:23 UTC	Aprea Therapeutics, Inc. APRE · Entity 7948	ConversionSeries C Convertible Preferred Stock · Derivative	492,475	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-053617 · a4.xml · derivative · entry 8 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 492,475 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: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · price: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F2 · ownership.direct: Shares are held directly by 5AM Ventures IV, L.P. F4 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F2 · ownership.nature: Shares are held directly by 5AM Ventures IV, L.P. F4 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document
October 07, 2019 Filed Oct 9, 2019 22:23 UTC	Aprea Therapeutics, Inc. APRE · Entity 7948	ConversionSeries B Convertible Preferred Stock · Derivative	79,746	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-053617 · a4.xml · derivative · entry 7 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 79,746 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: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · price: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F3 · ownership.direct: Shares are held directly by 5AM Co-Investors IV, L.P. F4 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F3 · ownership.nature: Shares are held directly by 5AM Co-Investors IV, L.P. F4 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document
October 07, 2019 Filed Oct 9, 2019 22:23 UTC	Aprea Therapeutics, Inc. APRE · Entity 7948	ConversionSeries B Convertible Preferred Stock · Derivative	1,913,910	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-053617 · a4.xml · derivative · entry 6 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,913,910 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: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · price: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F2 · ownership.direct: Shares are held directly by 5AM Ventures IV, L.P. F4 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F2 · ownership.nature: Shares are held directly by 5AM Ventures IV, L.P. F4 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document
October 07, 2019 Filed Oct 9, 2019 22:23 UTC	Aprea Therapeutics, Inc. APRE · Entity 7948	PurchaseCommon Stock	333,333	$15.00	$4,999,995.00	Disclosure SEC source: 0001104659-19-053617 · a4.xml · nonDerivative · entry 5 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 333,333 F5 · ownership.direct: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4. F6 · ownership.direct: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Mr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein. F5 · ownership.nature: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4. F6 · ownership.nature: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Mr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein. Read SEC document
October 07, 2019 Filed Oct 9, 2019 22:23 UTC	Aprea Therapeutics, Inc. APRE · Entity 7948	ConversionCommon Stock	20,519	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-053617 · a4.xml · nonDerivative · entry 4 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 100,772 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: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F3 · ownership.direct: Shares are held directly by 5AM Co-Investors IV, L.P. F4 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F3 · ownership.nature: Shares are held directly by 5AM Co-Investors IV, L.P. F4 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document
October 07, 2019 Filed Oct 9, 2019 22:23 UTC	Aprea Therapeutics, Inc. APRE · Entity 7948	ConversionCommon Stock	492,475	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-053617 · a4.xml · nonDerivative · entry 3 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,418,548 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: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F2 · ownership.direct: Shares are held directly by 5AM Ventures IV, L.P. F4 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F2 · ownership.nature: Shares are held directly by 5AM Ventures IV, L.P. F4 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document
October 07, 2019 Filed Oct 9, 2019 22:23 UTC	Aprea Therapeutics, Inc. APRE · Entity 7948	ConversionCommon Stock	79,746	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-053617 · a4.xml · nonDerivative · entry 2 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 80,253 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: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F3 · ownership.direct: Shares are held directly by 5AM Co-Investors IV, L.P. F4 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F3 · ownership.nature: Shares are held directly by 5AM Co-Investors IV, L.P. F4 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document
October 07, 2019 Filed Oct 9, 2019 22:23 UTC	Aprea Therapeutics, Inc. APRE · Entity 7948	ConversionCommon Stock	1,913,910	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-053617 · a4.xml · nonDerivative · entry 1 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,926,073 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: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F2 · ownership.direct: Shares are held directly by 5AM Ventures IV, L.P. F4 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F2 · ownership.nature: Shares are held directly by 5AM Ventures IV, L.P. F4 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.