organization · Reporting owner
5AM Opportunities I (GP), LLC
Disclosed activity across 12 companies
Sign in to followReported 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, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 808,259 |
Reported balance
After 2021-04-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-04-27 · Conversion · Acquired 808,259 · Balance 808,259 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,348,524 |
Reported balance
After 2021-04-27 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-04-27 · Conversion · Acquired 540,265 · Balance 1,348,524 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,849,456 |
Reported balance
After 2021-04-27 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2021-04-27 · Conversion · Acquired 500,932 · Balance 1,849,456 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 2,208,334 |
Reported balance
After 2021-04-27 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2021-04-27 · Conversion · Acquired 358,878 · Balance 2,208,334 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 2,309,791 |
Reported balance
After 2021-04-27 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2021-04-27 · Conversion · Acquired 101,457 · Balance 2,309,791 F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 575,000 |
Reported balance
After 2021-04-27 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2021-04-27 · Purchase · Acquired 575,000 · Balance 575,000 F3: The shares are directly held by 5AM Opportunities I, L.P ("Opportunities LP"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities LP. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities LP. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares held directly by Opportunities LP, except to the extent of its or his pecuniary interest therein. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-04-27 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-04-27 · Conversion · Disposed 13,233,885 · Balance 0 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Series C-2 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-04-27 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-04-27 · Conversion · Disposed 8,845,942 · Balance 0 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Series C-3 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-04-27 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2021-04-27 · Conversion · Disposed 8,201,930 · Balance 0 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Series D Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-04-27 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2021-04-27 · Conversion · Disposed 5,876,034 · Balance 0 F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| 5% Convertible Note due 2021SEC Table II · derivative / convertible security · Conversion / exercise price $13.50 · Expires 2021-12-31 | IndirectSee Footnote | 0 |
Reported balance
After 2021-04-27 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2021-04-27 · Conversion · Disposed 1,359,799.28 · Balance 0 F4: Represents the principal amount of the Note. F5: The outstanding principal and accrued interest on the convertible promissory note automatically converted into shares of Common Stock upon the closing of the IPO at a conversion price of $13.50 per share. F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-3 Preferred Stock and Series D Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 16.37332-for-one basis, and had no expiration date.
F2: The shares are directly held by 5AM Ventures V, L.P. ("Ventures V"). 5AM Partners V, LLC ("Partners V") is the sole general partner of Ventures V. Andrew J. Schwab, Dr. Scott M. Rocklage and Dr. Kush Parmar, are the managing members of Partners V and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures V. Each of Partners V, Mr. Schwab, Dr. Rocklage and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
F3: The shares are directly held by 5AM Opportunities I, L.P ("Opportunities LP"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities LP. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities LP. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares held directly by Opportunities LP, except to the extent of its or his pecuniary interest therein.
F4: Represents the principal amount of the Note.
F5: The outstanding principal and accrued interest on the convertible promissory note automatically converted into shares of Common Stock upon the closing of the IPO at a conversion price of $13.50 per share.
Rallybio Corp
Report date June 03, 2022 · Filed June 07, 2022
Jointly reported with 5AM Opportunities I, L.P., Schwab Andrew J., 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 rowRow 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 rowRow 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, L.P., 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 rowRow 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 rowRow 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, L.P., 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 rowRow 1 · 2022-11-30 · Other · Disposed 3,153,333 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for... 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 rowRow 2 · 2022-11-30 · Other · Disposed 982,453 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for... 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, L.P., 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 rowRow 1 · 2020-10-05 · Sale · Disposed 175,000 · Balance 138,497 F1: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4. F2: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,823,192 |
Reported balance
Holding disclosure · report date 2020-10-05 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,823,192 F3: Shares are held directly by 5AM Ventures IV, L.P. F4: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 75,965 |
Reported balance
Holding disclosure · report date 2020-10-05 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 75,965 F5: Shares are held directly by 5AM Co-Investors IV, L.P. F4: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4.
F2: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein.
F3: Shares are held directly by 5AM Ventures IV, L.P.
F4: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein.
F5: Shares are held directly by 5AM Co-Investors IV, L.P.
Cabaletta Bio, Inc.
Report date November 01, 2021 · Filed November 03, 2021
Jointly reported with 5AM Ventures V, L.P., 5AM Opportunities I, L.P., 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 rowRow 1 · 2021-11-01 · Sale · Disposed 258,456 · Balance 1,731,119 F1: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock held by 5AM V, except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 333,144 |
Reported balance
After 2021-11-01 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-11-01 · Sale · Disposed 36,544 · Balance 333,144 F2: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are held by 5AM Ventures V, L.P. ("5AM V"). 5AM Partners V, LLC ("5AM Partners") is the sole general partner of 5AM V. Dr. Kush Parmar, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM V. Each of 5AM Partners, Dr. Parmar, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock held by 5AM V, except to the extent of its or his pecuniary interest therein.
F2: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein.
CinCor Pharma, Inc.
Report date February 24, 2023 · Filed February 28, 2023
Jointly reported with 5AM Partners VI, LLC, 5AM Ventures VI, L.P., 5AM Opportunities I, L.P., Schwab Andrew J., PARMAR KUSH, 5AM Opportunities II (GP), LLC, 5AM Opportunities II, L.P.
Section 16 reporting ended · disclosed 2023-02-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures VI, L.P. | 0 |
Reported balance
After 2023-02-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-02-24 · Other · Disposed 3,953,990 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (2)] F2: [continues from footnote (1)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F3: Shares are held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities II, L.P. | 0 |
Reported balance
After 2023-02-24 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-02-24 · Other · Disposed 487,333 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (2)] F2: [continues from footnote (1)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F4: Shares are held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the sole general partner of Opportunities II. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II. Each of Opportunities II GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities I, L.P. | 0 |
Reported balance
After 2023-02-24 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-02-24 · Other · Disposed 496,323 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (2)] F2: [continues from footnote (1)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F5: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (2)]
F2: [continues from footnote (1)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price.
F3: Shares are held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar, and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
F4: Shares are held by 5AM Opportunities II, L.P. ("Opportunities II"). 5AM Opportunities II (GP), LLC ("Opportunities II GP") is the sole general partner of Opportunities II. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities II GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities II. Each of Opportunities II GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
F5: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Enliven Therapeutics, Inc.
Report date February 14, 2024 · Filed February 16, 2024
Jointly reported with 5AM Partners VI, LLC, 5AM Ventures VI, L.P., 5AM Opportunities I, L.P., 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 rowRow 1 · 2024-02-14 · Sale · Disposed 688,358 · Balance 3,200,634 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.89 to $14.93 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities I, L.P. | 635,341 |
Reported balance
After 2024-02-14 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2024-02-14 · Sale · Disposed 136,642 · Balance 635,341 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.89 to $14.93 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3: The shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.89 to $14.93 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F2: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.
F3: The shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his respective pecuniary interest therein.
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, L.P., 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 rowsRow 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 rowRow 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, L.P., 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 rowRow 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 rowRow 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 rowRow 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, L.P., 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 rowRow 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 rowRow 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 rowRow 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, L.P., 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 rowsRow 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 rowsRow 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 rowsRow 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 APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 07, 2026 Filed Aug 10, 2026 23:52 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | SaleCommon Stock | 52,317 | $6.85 | $358,371.45 |
DisclosureSEC source: 0001231919-26-000854 · form4-08102026_110837.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 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: No plan indicated Ownership: Direct Disclosed balance after: 2,783,781 F3 · price: 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 · ownership.direct: 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. Read SEC document |
| August 06, 2026 Filed Aug 10, 2026 23:52 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | SaleCommon Stock | 10,494 | $7.00 | $73,458.00 |
DisclosureSEC source: 0001231919-26-000854 · form4-08102026_110837.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 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: No plan indicated Ownership: Direct Disclosed balance after: 2,836,098 F1 · price: 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 · ownership.direct: 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. Read SEC document |
| July 31, 2026 Filed Aug 3, 2026 21:32 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | SaleCommon Stock | 1,718 | $6.85 | $11,768.30 |
DisclosureSEC source: 0001231919-26-000822 · form4-08032026_090845.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 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: No plan indicated Ownership: Direct Disclosed balance after: 2,846,592 F2 · ownership.direct: 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. Read SEC document |
| July 30, 2026 Filed Aug 3, 2026 21:32 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | SaleCommon Stock | 114,756 | $6.93 | $795,259.08 |
DisclosureSEC source: 0001231919-26-000822 · form4-08032026_090845.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 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: No plan indicated Ownership: Direct Disclosed balance after: 2,848,310 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.75 to $6.95 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 · ownership.direct: 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. Read SEC document |
| November 14, 2025 Filed Nov 18, 2025 21:34 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | SaleCommon Stock | 200,000 | $8.80 | $1,760,000.00 |
DisclosureSEC source: 0001231919-25-000522 · form4-11182025_091144.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 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: No plan indicated Ownership: Direct Disclosed balance after: 2,963,066 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.80 to $9.023 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 · ownership.direct: 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. Read SEC document |
| July 09, 2025 Filed Jul 11, 2025 21:25 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | SaleCommon Stock | 6,935 | $7.50 | $52,026.37 |
DisclosureSEC source: 0001415889-25-019677 · form4-07112025_090716.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 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: No plan indicated Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 1,093,313 F2 · ownership.nature: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP 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. Read SEC document |
| July 09, 2025 Filed Jul 11, 2025 21:25 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | SaleCommon Stock | 20,065 | $7.50 | $150,527.63 |
DisclosureSEC source: 0001415889-25-019677 · form4-07112025_090716.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 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: No plan indicated Ownership: Direct Disclosed balance after: 3,163,066 F1 · ownership.direct: 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. Read SEC document |
| July 01, 2025 Filed Jul 2, 2025 00:32 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | SaleCommon Stock | 6,422 | $7.12 | $45,741.34 |
DisclosureSEC source: 0001415889-25-018822 · form4-07022025_120710.xml · nonDerivative · entry 6 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 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: No plan indicated Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 1,100,248 F2 · ownership.nature: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP 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. Read SEC document |
| July 01, 2025 Filed Jul 2, 2025 00:32 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | SaleCommon Stock | 18,578 | $7.12 | $132,323.66 |
DisclosureSEC source: 0001415889-25-018822 · form4-07022025_120710.xml · nonDerivative · entry 5 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 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: No plan indicated Ownership: Direct Disclosed balance after: 3,183,131 F1 · ownership.direct: 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. Read SEC document |
| June 30, 2025 Filed Jul 2, 2025 00:32 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | SaleCommon Stock | 6,422 | $6.81 | $43,751.16 |
DisclosureSEC source: 0001415889-25-018822 · form4-07022025_120710.xml · nonDerivative · 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 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: No plan indicated Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 1,106,670 F2 · ownership.nature: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP 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. Read SEC document |
| June 30, 2025 Filed Jul 2, 2025 00:32 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | SaleCommon Stock | 18,578 | $6.81 | $126,566.34 |
DisclosureSEC source: 0001415889-25-018822 · form4-07022025_120710.xml · nonDerivative · 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 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: No plan indicated Ownership: Direct Disclosed balance after: 3,201,709 F1 · ownership.direct: 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. Read SEC document |
| June 27, 2025 Filed Jul 2, 2025 00:32 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | SaleCommon Stock | 19,265 | $6.91 | $133,121.15 |
DisclosureSEC source: 0001415889-25-018822 · form4-07022025_120710.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 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: No plan indicated Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 1,113,092 F2 · ownership.nature: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP 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. Read SEC document |
| June 27, 2025 Filed Jul 2, 2025 00:32 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | SaleCommon Stock | 55,735 | $6.91 | $385,128.85 |
DisclosureSEC source: 0001415889-25-018822 · form4-07022025_120710.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 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: No plan indicated Ownership: Direct Disclosed balance after: 3,220,287 F1 · ownership.direct: 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. Read SEC document |
| February 14, 2024 Filed Feb 16, 2024 21:15 UTC | Enliven Therapeutics, Inc. ELVN · Entity 4024 | SaleCommon Stock | 136,642 | $14.90 | $2,035,965.80 |
DisclosureSEC source: 0001415889-24-004111 · form4-02162024_040204.xml · nonDerivative · entry 2 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 635,341 F1 · price: 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 · ownership.nature: 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. Read SEC document |
| February 14, 2024 Filed Feb 16, 2024 21:15 UTC | Enliven Therapeutics, Inc. ELVN · Entity 4024 | SaleCommon Stock | 688,358 | $14.90 | $10,256,534.20 |
DisclosureSEC source: 0001415889-24-004111 · form4-02162024_040204.xml · nonDerivative · entry 1 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By 5AMVentures VI, L.P. Disclosed balance after: 3,200,634 F1 · price: 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 · ownership.nature: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 21:29 UTC | Enliven Therapeutics, Inc. ELVN · Entity 4024 | SaleCommon Stock | 82,813 | $15.00 | $1,242,195.00 |
DisclosureSEC source: 0001415889-24-002295 · form4-02022024_090230.xml · nonDerivative · entry 2 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 771,983 F2 · ownership.nature: 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. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 21:29 UTC | Enliven Therapeutics, Inc. ELVN · Entity 4024 | SaleCommon Stock | 417,187 | $15.00 | $6,257,805.00 |
DisclosureSEC source: 0001415889-24-002295 · form4-02022024_090230.xml · nonDerivative · entry 1 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By 5AMVentures VI, L.P. Disclosed balance after: 3,888,992 F1 · ownership.nature: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| September 26, 2023 Filed Sep 28, 2023 20:27 UTC | Enliven Therapeutics, Inc. ELVN · Entity 4024 | SaleCommon Stock | 32,711 | $15.00 | $490,665.00 |
DisclosureSEC source: 0001209191-23-050731 · doc4.xml · nonDerivative · entry 2 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 854,796 F2 · ownership.nature: 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. Read SEC document |
| September 26, 2023 Filed Sep 28, 2023 20:27 UTC | Enliven Therapeutics, Inc. ELVN · Entity 4024 | SaleCommon Stock | 164,789 | $15.00 | $2,471,835.00 |
DisclosureSEC source: 0001209191-23-050731 · doc4.xml · nonDerivative · entry 1 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By 5AM Ventures VI, L.P. Disclosed balance after: 4,306,179 F1 · ownership.nature: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| August 24, 2023 Filed Aug 28, 2023 20:20 UTC | Enliven Therapeutics, Inc. ELVN · Entity 4024 | SaleCommon Stock | 72,876 | $16.00 | $1,166,016.00 |
DisclosureSEC source: 0001209191-23-047514 · doc4.xml · nonDerivative · entry 2 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 887,507 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.00 to $16.60 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 · ownership.nature: 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. Read SEC document |
| August 24, 2023 Filed Aug 28, 2023 20:20 UTC | Enliven Therapeutics, Inc. ELVN · Entity 4024 | SaleCommon Stock | 367,124 | $16.00 | $5,873,984.00 |
DisclosureSEC source: 0001209191-23-047514 · doc4.xml · nonDerivative · entry 1 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By 5AM Ventures VI, L.P. Disclosed balance after: 4,470,968 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.00 to $16.60 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 · ownership.nature: The shares are directly held by 5AM Ventures VI, L.P. ("Ventures VI"). 5AM Partners VI, LLC ("Partners VI") is the sole general partner of Ventures VI. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VI and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VI. Each of Partners VI, Dr. Parmar and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| April 10, 2023 Filed Apr 12, 2023 20:51 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 3,172,769 | $0.12 | $380,732.28 |
DisclosureSEC source: 0001209191-23-024105 · doc4.xml · nonDerivative · entry 3 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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: No plan indicated Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 200,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.11 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 · ownership.nature: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab 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. Read SEC document |
| April 10, 2023 Filed Apr 12, 2023 20:51 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 534,855 | $0.12 | $64,182.60 |
DisclosureSEC source: 0001209191-23-024105 · doc4.xml · nonDerivative · entry 2 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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: No plan indicated Ownership: Indirect · By 5AM Co-Investors IV, L.P. Disclosed balance after: 0 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.11 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 · ownership.nature: 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. Read SEC document |
| April 10, 2023 Filed Apr 12, 2023 20:51 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 12,836,489 | $0.12 | $1,540,378.68 |
DisclosureSEC source: 0001209191-23-024105 · doc4.xml · nonDerivative · entry 1 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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: No plan indicated Ownership: Indirect · By 5AM Ventures IV, L.P. Disclosed balance after: 0 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.11 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 · ownership.nature: 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. Read SEC document |
| February 24, 2023 Filed Feb 28, 2023 21:29 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | OtherCommon Stock | 496,323 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-013671 · doc4.xml · nonDerivative · entry 3 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner 5AM Opportunities II (GP), LLC · CIK 0001873515 · 10% owner 5AM Opportunities II, L.P. · CIK 0001844401 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Opportunities I, L.P. Disclosed balance after: 0 F1 · shares: 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 · shares: [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. F1 · price: 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 · price: [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 · ownership.nature: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are the managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| February 24, 2023 Filed Feb 28, 2023 21:29 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | OtherCommon Stock | 487,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-013671 · doc4.xml · nonDerivative · entry 2 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner 5AM Opportunities II (GP), LLC · CIK 0001873515 · 10% owner 5AM Opportunities II, L.P. · CIK 0001844401 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Opportunities II, L.P. Disclosed balance after: 0 F1 · shares: 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 · shares: [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. F1 · price: 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 · price: [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 · ownership.nature: 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. Read SEC document |
| February 24, 2023 Filed Feb 28, 2023 21:29 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | OtherCommon Stock | 3,953,990 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-013671 · doc4.xml · nonDerivative · entry 1 5AM Partners VI, LLC · CIK 0001829051 · 10% owner 5AM Ventures VI, L.P. · CIK 0001753037 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner 5AM Opportunities II (GP), LLC · CIK 0001873515 · 10% owner 5AM Opportunities II, L.P. · CIK 0001844401 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures VI, L.P. Disclosed balance after: 0 F1 · shares: 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 · shares: [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. F1 · price: 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 · price: [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 · ownership.nature: 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. Read SEC document |
| November 30, 2022 Filed Dec 2, 2022 15:38 UTC | Akouos, Inc. AKUS · Entity 11574 | OtherCommon Stock | 982,453 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-059372 · doc4.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 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 · 5AM Opportunities I, L.P. Disclosed balance after: 0 F1 · shares: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for... F2 · shares: (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. F1 · price: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for... F5 · ownership.nature: 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 · ownership.nature: Shares are held directly by Opportunities I. Read SEC document |
| November 30, 2022 Filed Dec 2, 2022 15:38 UTC | Akouos, Inc. AKUS · Entity 11574 | OtherCommon Stock | 3,153,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-059372 · doc4.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 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 · By 5AM Ventures V, L.P. Disclosed balance after: 0 F1 · shares: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for... F2 · shares: (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. F1 · price: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for... F3 · ownership.nature: Shares are held directly by 5AM Ventures V, L.P. ("Ventures V"). F4 · ownership.nature: 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. Read SEC document |
| November 15, 2022 Filed Nov 16, 2022 01:32 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 2,551 | $2.52 | $6,428.52 |
DisclosureSEC source: 0001209191-22-057195 · doc4.xml · nonDerivative · entry 6 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Co-Investors IV, L.P. Disclosed balance after: 534,855 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.655 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 · ownership.nature: 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. Read SEC document |
| November 15, 2022 Filed Nov 16, 2022 01:32 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 61,222 | $2.52 | $154,279.44 |
DisclosureSEC source: 0001209191-22-057195 · doc4.xml · nonDerivative · entry 5 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Ventures IV, L.P. Disclosed balance after: 12,836,489 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.655 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 · ownership.nature: 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. Read SEC document |
| November 14, 2022 Filed Nov 16, 2022 01:32 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 485 | $2.79 | $1,353.15 |
DisclosureSEC source: 0001209191-22-057195 · doc4.xml · nonDerivative · entry 4 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Co-Investors IV, L.P. Disclosed balance after: 537,406 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.70 to $2.82 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 · ownership.nature: 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. Read SEC document |
| November 14, 2022 Filed Nov 16, 2022 01:32 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 11,643 | $2.79 | $32,483.97 |
DisclosureSEC source: 0001209191-22-057195 · doc4.xml · nonDerivative · entry 3 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Ventures IV, L.P. Disclosed balance after: 12,897,711 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.70 to $2.82 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 · ownership.nature: 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. Read SEC document |
| November 11, 2022 Filed Nov 16, 2022 01:32 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 1,175 | $3.19 | $3,748.25 |
DisclosureSEC source: 0001209191-22-057195 · doc4.xml · nonDerivative · entry 2 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Co-Investors IV, L.P. Disclosed balance after: 537,891 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $3.33 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 · ownership.nature: 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. Read SEC document |
| November 11, 2022 Filed Nov 16, 2022 01:32 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 28,205 | $3.19 | $89,973.95 |
DisclosureSEC source: 0001209191-22-057195 · doc4.xml · nonDerivative · entry 1 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Ventures IV, L.P. Disclosed balance after: 12,909,354 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $3.33 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 · ownership.nature: 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. Read SEC document |
| November 02, 2022 Filed Nov 2, 2022 23:49 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 423 | $2.72 | $1,150.56 |
DisclosureSEC source: 0001209191-22-055425 · doc4.xml · nonDerivative · entry 6 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Co-Investors IV, L.P. Disclosed balance after: 539,066 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.70 to $2.76 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. Read SEC document |
| November 02, 2022 Filed Nov 2, 2022 23:49 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 10,155 | $2.72 | $27,621.60 |
DisclosureSEC source: 0001209191-22-055425 · doc4.xml · nonDerivative · entry 5 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Ventures IV, L.P. Disclosed balance after: 12,937,559 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.70 to $2.76 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. Read SEC document |
| November 01, 2022 Filed Nov 2, 2022 23:49 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 59 | $2.80 | $165.20 |
DisclosureSEC source: 0001209191-22-055425 · doc4.xml · nonDerivative · entry 4 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Co-Investors IV, L.P. Disclosed balance after: 539,489 F3 · ownership.nature: 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. Read SEC document |
| November 01, 2022 Filed Nov 2, 2022 23:49 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 1,408 | $2.80 | $3,942.40 |
DisclosureSEC source: 0001209191-22-055425 · doc4.xml · nonDerivative · entry 3 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Ventures IV, L.P. Disclosed balance after: 12,947,714 F2 · ownership.nature: 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. Read SEC document |
| October 31, 2022 Filed Nov 2, 2022 23:49 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 1,687 | $2.78 | $4,689.86 |
DisclosureSEC source: 0001209191-22-055425 · doc4.xml · nonDerivative · entry 2 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Co-Investors IV, L.P. Disclosed balance after: 539,548 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.75 to $2.86 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 · ownership.nature: 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. Read SEC document |
| October 31, 2022 Filed Nov 2, 2022 23:49 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 40,477 | $2.78 | $112,526.06 |
DisclosureSEC source: 0001209191-22-055425 · doc4.xml · nonDerivative · entry 1 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Ventures IV, L.P. Disclosed balance after: 12,949,122 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.75 to $2.86 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 · ownership.nature: 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. Read SEC document |
| October 10, 2022 Filed Oct 11, 2022 19:10 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 87,036 | $4.09 | $355,977.24 |
DisclosureSEC source: 0001209191-22-053401 · doc4.xml · nonDerivative · entry 6 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Opportunities I, L.P. Disclosed balance after: 410,268 F3 · ownership.nature: 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. Read SEC document |
| October 10, 2022 Filed Oct 11, 2022 19:10 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 19,017 | $4.09 | $77,779.53 |
DisclosureSEC source: 0001209191-22-053401 · doc4.xml · nonDerivative · entry 5 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Co-Investors IV, L.P. Disclosed balance after: 92,983 F2 · ownership.nature: 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. Read SEC document |
| October 10, 2022 Filed Oct 11, 2022 19:10 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 456,413 | $4.09 | $1,866,729.17 |
DisclosureSEC source: 0001209191-22-053401 · doc4.xml · nonDerivative · entry 4 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Ventures IV, L.P. Disclosed balance after: 2,231,601 F1 · ownership.nature: 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. Read SEC document |
| October 06, 2022 Filed Oct 11, 2022 19:10 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 5,808 | $5.02 | $29,156.16 |
DisclosureSEC source: 0001209191-22-053401 · doc4.xml · nonDerivative · entry 3 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Opportunities I, L.P. Disclosed balance after: 497,304 F3 · ownership.nature: 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. Read SEC document |
| October 06, 2022 Filed Oct 11, 2022 19:10 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 1,269 | $5.02 | $6,370.38 |
DisclosureSEC source: 0001209191-22-053401 · doc4.xml · nonDerivative · entry 2 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Co-Investors IV, L.P. Disclosed balance after: 112,000 F2 · ownership.nature: 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. Read SEC document |
| October 06, 2022 Filed Oct 11, 2022 19:10 UTC | scPharmaceuticals Inc. SCPH · Entity 74456 | SaleCommon Stock | 30,457 | $5.02 | $152,894.14 |
DisclosureSEC source: 0001209191-22-053401 · doc4.xml · nonDerivative · entry 1 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Ventures IV, L.P. Disclosed balance after: 2,688,014 F1 · ownership.nature: 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. Read SEC document |
| September 16, 2022 Filed Sep 16, 2022 22:03 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 14 | $1.75 | $24.50 |
DisclosureSEC source: 0001209191-22-050387 · doc4.xml · nonDerivative · entry 6 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Co-Investors IV, L.P. Disclosed balance after: 541,235 Read SEC document |
| September 16, 2022 Filed Sep 16, 2022 22:03 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 337 | $1.75 | $589.75 |
DisclosureSEC source: 0001209191-22-050387 · doc4.xml · nonDerivative · entry 5 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Ventures IV, L.P. Disclosed balance after: 12,989,599 Read SEC document |
| September 15, 2022 Filed Sep 16, 2022 22:03 UTC | Pear Therapeutics, Inc. PEAR · Entity 114512 | SaleClass A Common Stock | 10,910 | $1.81 | $19,747.10 |
DisclosureSEC source: 0001209191-22-050387 · doc4.xml · nonDerivative · entry 4 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 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 · By 5AM Co-Investors IV, L.P. Disclosed balance after: 541,249 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.78 to $1.92 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 · ownership.nature: 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. 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.