TapewireFind a company

organization · Reporting owner

Redmile Group, LLC

Disclosed activity across 37 companies

Tapewire entity
25414
SEC CIK
0001425738

Export transaction history ↓

Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ARRAY BIOPHARMA INCARRY · Entity 15578810% ownerSeptember 28, 2016September 30, 2016
Absci CorpABSI · Entity 4685DirectorJune 12, 2024June 14, 2024
Atara Biotherapeutics, Inc.ATRA · Entity 6828DirectorJuly 22, 2026July 25, 2026
FATE THERAPEUTICS INCFATE · Entity 5968Director · 10% ownerJune 12, 2026June 15, 2026
MedAvail Holdings, Inc.MDVL · Entity 94590Director · 10% ownerJune 16, 2023June 22, 2023
Neurogene Inc.NLTX · Entity 516010% ownerMarch 27, 2020April 06, 2020
XERIS PHARMACEUTICALS INCXERS · Entity 13490610% ownerFebruary 19, 2019February 21, 2019
Zymeworks Inc.ZYME · Entity 445810% ownerOctober 13, 2022October 18, 2022

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.

ARRAY BIOPHARMA INC

Report date September 28, 2016 · Filed September 30, 2016

Jointly reported with Green Jeremy

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $0.001 par valueSEC Table I · non-derivativeIndirectSee Footnote16,658,072 Reported balance After 2016-09-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2016-09-28 · Sale · Disposed 2,492,578 · Balance 16,658,072

F1: This constitutes the weighted average sale price. The prices range from $6.25 to $6.76. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: This constitutes the weighted average sale price. The prices range from $6.25 to $6.76. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Absci Corp

Report date June 12, 2024 · Filed June 14, 2024

Jointly reported with Green Jeremy

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnotes8,262,136 Reported balance After 2024-06-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2024-06-12 · Grant · Acquired 8,820 · Balance 8,262,136

F1: On June 12, 2024, Mr. Amrit Nagpal received 8,820 restricted stock units ("RSUs") issued under the Issuer's 2021 Stock Option and Incentive Plan. Each RSU represents the contingent right to receive one share of the Issuer's common stock, $0.0001 par value (the "Common Stock"). The RSUs shall vest and be settled in full on the earlier of (i) the first anniversary of the date of grant or (ii) the date of the Issuer's next annual meeting of stockholders, subject to Mr. Nagpal's continuous service to the Issuer through such date.

F3: The restricted stock units and stock option (the "reported securities") were granted to Mr. Nagpal, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile, Mr. Nagpal holds the reported securities as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the reported securities to Redmile. Mr. Nagpal disclaims beneficial ownership of the reported securities, and the filing of this Form 4 shall not be deemed an admission that Mr. Nagpal is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.96 · Expires 2034-06-11IndirectSee Footnotes36,274 Reported balance After 2024-06-12 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2024-06-12 · Grant · Acquired 36,274 · Balance 36,274

F2: On June 12, 2024, Mr. Nagpal received a grant of options to purchase 36,274 shares of the Issuer's Common Stock. Pursuant to the Issuer's amended Non-Employee Director Compensation Policy, the option award will vest in full on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the Issuer's next annual meeting of stockholders, subject to Mr. Nagpal's continuous service to the Issuer through such date.

F3: The restricted stock units and stock option (the "reported securities") were granted to Mr. Nagpal, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile, Mr. Nagpal holds the reported securities as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the reported securities to Redmile. Mr. Nagpal disclaims beneficial ownership of the reported securities, and the filing of this Form 4 shall not be deemed an admission that Mr. Nagpal is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On June 12, 2024, Mr. Amrit Nagpal received 8,820 restricted stock units ("RSUs") issued under the Issuer's 2021 Stock Option and Incentive Plan. Each RSU represents the contingent right to receive one share of the Issuer's common stock, $0.0001 par value (the "Common Stock"). The RSUs shall vest and be settled in full on the earlier of (i) the first anniversary of the date of grant or (ii) the date of the Issuer's next annual meeting of stockholders, subject to Mr. Nagpal's continuous service to the Issuer through such date.

F2: On June 12, 2024, Mr. Nagpal received a grant of options to purchase 36,274 shares of the Issuer's Common Stock. Pursuant to the Issuer's amended Non-Employee Director Compensation Policy, the option award will vest in full on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the Issuer's next annual meeting of stockholders, subject to Mr. Nagpal's continuous service to the Issuer through such date.

F3: The restricted stock units and stock option (the "reported securities") were granted to Mr. Nagpal, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile, Mr. Nagpal holds the reported securities as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the reported securities to Redmile. Mr. Nagpal disclaims beneficial ownership of the reported securities, and the filing of this Form 4 shall not be deemed an admission that Mr. Nagpal is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Atara Biotherapeutics, Inc.

Report date July 22, 2026 · Filed July 25, 2026

Jointly reported with Green Jeremy

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote636,852 Last balance in matching sequence After 2026-07-22 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2026-07-22 · Exercise / conversion · Acquired 195,211 · Balance 636,912

F5: On July 22, 2026, the Reporting Persons exercised the reported Pre-Funded Warrants through a "cashless exercise" resulting in the Issuer withholding 60 shares of Common Stock to pay the exercise price and issuing the remaining 195,151 shares of Common Stock to the applicable Funds. The number of shares withheld to pay the aggregate exercise price for the cashless exercise of the Pre-Funded Warrants was based on the closing sale price per share of the Common Stock on the trading date immediately prior to the exercise date, per the terms of the Pre-Funded Warrants.

F4: The reported securities are directly owned by certain private funds managed by Redmile Group, LLC (collectively, the "Funds") and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as investment manager of the Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 2 · 2026-07-22 · Tax withholding · Disposed 60 · Balance 636,852

F5: On July 22, 2026, the Reporting Persons exercised the reported Pre-Funded Warrants through a "cashless exercise" resulting in the Issuer withholding 60 shares of Common Stock to pay the exercise price and issuing the remaining 195,151 shares of Common Stock to the applicable Funds. The number of shares withheld to pay the aggregate exercise price for the cashless exercise of the Pre-Funded Warrants was based on the closing sale price per share of the Common Stock on the trading date immediately prior to the exercise date, per the terms of the Pre-Funded Warrants.

F4: The reported securities are directly owned by certain private funds managed by Redmile Group, LLC (collectively, the "Funds") and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as investment manager of the Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Pre-Funded Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee Footnote0 Reported balance After 2026-07-22 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2026-07-22 · Exercise / conversion · Disposed 101,089 · Balance 0

F1: The Pre-Funded Warrants are exercisable at any time on or after the original issuance on July 23, 2019 until the seven-year anniversary of the original issuance date, at an exercise price equal to $0.0025 per share, subject to a 9.99% beneficial ownership blocker.

F8: The previous report on Form 3 inadvertently indicated that all of the Pre-Funded Warrants beneficially owned by the Reporting Persons have an exercise price of $0.0001 per share and no expiration date. Footnotes (1), (2), (3), (6) and (7) and the related disclosures correct the Form 3 with respect to the terms of the Pre-Funded Warrants beneficially owned by the Reporting Persons.

F5: On July 22, 2026, the Reporting Persons exercised the reported Pre-Funded Warrants through a "cashless exercise" resulting in the Issuer withholding 60 shares of Common Stock to pay the exercise price and issuing the remaining 195,151 shares of Common Stock to the applicable Funds. The number of shares withheld to pay the aggregate exercise price for the cashless exercise of the Pre-Funded Warrants was based on the closing sale price per share of the Common Stock on the trading date immediately prior to the exercise date, per the terms of the Pre-Funded Warrants.

F4: The reported securities are directly owned by certain private funds managed by Redmile Group, LLC (collectively, the "Funds") and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as investment manager of the Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Pre-Funded Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee Footnote0 Reported balance After 2026-07-22 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2026-07-22 · Exercise / conversion · Disposed 38,735 · Balance 0

F2: The Pre-Funded Warrants are exercisable at any time on or after the original issuance on May 29, 2020 until the seven-year anniversary of the original issuance date, at an exercise price equal to $0.0025 per share, subject to a 9.99% beneficial ownership blocker.

F8: The previous report on Form 3 inadvertently indicated that all of the Pre-Funded Warrants beneficially owned by the Reporting Persons have an exercise price of $0.0001 per share and no expiration date. Footnotes (1), (2), (3), (6) and (7) and the related disclosures correct the Form 3 with respect to the terms of the Pre-Funded Warrants beneficially owned by the Reporting Persons.

F5: On July 22, 2026, the Reporting Persons exercised the reported Pre-Funded Warrants through a "cashless exercise" resulting in the Issuer withholding 60 shares of Common Stock to pay the exercise price and issuing the remaining 195,151 shares of Common Stock to the applicable Funds. The number of shares withheld to pay the aggregate exercise price for the cashless exercise of the Pre-Funded Warrants was based on the closing sale price per share of the Common Stock on the trading date immediately prior to the exercise date, per the terms of the Pre-Funded Warrants.

F4: The reported securities are directly owned by certain private funds managed by Redmile Group, LLC (collectively, the "Funds") and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as investment manager of the Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Pre-Funded Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee Footnote0 Reported balance After 2026-07-22 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2026-07-22 · Exercise / conversion · Disposed 55,387 · Balance 0

F3: The Pre-Funded Warrants are exercisable at any time on or after the original issuance on December 11, 2020 until the seven-year anniversary of the original issuance date, at an exercise price equal to $0.0025 per share, subject to a 9.99% beneficial ownership blocker.

F8: The previous report on Form 3 inadvertently indicated that all of the Pre-Funded Warrants beneficially owned by the Reporting Persons have an exercise price of $0.0001 per share and no expiration date. Footnotes (1), (2), (3), (6) and (7) and the related disclosures correct the Form 3 with respect to the terms of the Pre-Funded Warrants beneficially owned by the Reporting Persons.

F5: On July 22, 2026, the Reporting Persons exercised the reported Pre-Funded Warrants through a "cashless exercise" resulting in the Issuer withholding 60 shares of Common Stock to pay the exercise price and issuing the remaining 195,151 shares of Common Stock to the applicable Funds. The number of shares withheld to pay the aggregate exercise price for the cashless exercise of the Pre-Funded Warrants was based on the closing sale price per share of the Common Stock on the trading date immediately prior to the exercise date, per the terms of the Pre-Funded Warrants.

F4: The reported securities are directly owned by certain private funds managed by Redmile Group, LLC (collectively, the "Funds") and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as investment manager of the Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Pre-Funded Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee Footnote1,090,907 Reported balance Holding disclosure · report date 2026-07-22 · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · Balance 1,090,907

F6: The Pre-Funded Warrants are exercisable at any time on or after the original issuance date, at an exercise price equal to $0.0025 per share, subject to a 9.99% beneficial ownership blocker. The Pre-Funded Warrants have no expiration date.

F8: The previous report on Form 3 inadvertently indicated that all of the Pre-Funded Warrants beneficially owned by the Reporting Persons have an exercise price of $0.0001 per share and no expiration date. Footnotes (1), (2), (3), (6) and (7) and the related disclosures correct the Form 3 with respect to the terms of the Pre-Funded Warrants beneficially owned by the Reporting Persons.

F4: The reported securities are directly owned by certain private funds managed by Redmile Group, LLC (collectively, the "Funds") and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as investment manager of the Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Pre-Funded Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee Footnote2,126,725 Reported balance Holding disclosure · report date 2026-07-22 · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · Balance 2,126,725

F7: The Pre-Funded Warrants are exercisable at any time on or after the original issuance date, at an exercise price equal to $0.0001 per share, subject to a 9.99% beneficial ownership blocker. The Pre-Funded Warrants have no expiration date.

F8: The previous report on Form 3 inadvertently indicated that all of the Pre-Funded Warrants beneficially owned by the Reporting Persons have an exercise price of $0.0001 per share and no expiration date. Footnotes (1), (2), (3), (6) and (7) and the related disclosures correct the Form 3 with respect to the terms of the Pre-Funded Warrants beneficially owned by the Reporting Persons.

F4: The reported securities are directly owned by certain private funds managed by Redmile Group, LLC (collectively, the "Funds") and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as investment manager of the Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Pre-Funded Warrants are exercisable at any time on or after the original issuance on July 23, 2019 until the seven-year anniversary of the original issuance date, at an exercise price equal to $0.0025 per share, subject to a 9.99% beneficial ownership blocker.

F2: The Pre-Funded Warrants are exercisable at any time on or after the original issuance on May 29, 2020 until the seven-year anniversary of the original issuance date, at an exercise price equal to $0.0025 per share, subject to a 9.99% beneficial ownership blocker.

F3: The Pre-Funded Warrants are exercisable at any time on or after the original issuance on December 11, 2020 until the seven-year anniversary of the original issuance date, at an exercise price equal to $0.0025 per share, subject to a 9.99% beneficial ownership blocker.

F4: The reported securities are directly owned by certain private funds managed by Redmile Group, LLC (collectively, the "Funds") and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as investment manager of the Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F5: On July 22, 2026, the Reporting Persons exercised the reported Pre-Funded Warrants through a "cashless exercise" resulting in the Issuer withholding 60 shares of Common Stock to pay the exercise price and issuing the remaining 195,151 shares of Common Stock to the applicable Funds. The number of shares withheld to pay the aggregate exercise price for the cashless exercise of the Pre-Funded Warrants was based on the closing sale price per share of the Common Stock on the trading date immediately prior to the exercise date, per the terms of the Pre-Funded Warrants.

F6: The Pre-Funded Warrants are exercisable at any time on or after the original issuance date, at an exercise price equal to $0.0025 per share, subject to a 9.99% beneficial ownership blocker. The Pre-Funded Warrants have no expiration date.

F7: The Pre-Funded Warrants are exercisable at any time on or after the original issuance date, at an exercise price equal to $0.0001 per share, subject to a 9.99% beneficial ownership blocker. The Pre-Funded Warrants have no expiration date.

F8: The previous report on Form 3 inadvertently indicated that all of the Pre-Funded Warrants beneficially owned by the Reporting Persons have an exercise price of $0.0001 per share and no expiration date. Footnotes (1), (2), (3), (6) and (7) and the related disclosures correct the Form 3 with respect to the terms of the Pre-Funded Warrants beneficially owned by the Reporting Persons.

FATE THERAPEUTICS INC

Report date June 12, 2026 · Filed June 15, 2026

Jointly reported with Green Jeremy

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.06 · Expires 2036-06-12IndirectSee Footnotes87,900 Reported balance After 2026-06-12 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2026-06-12 · Grant · Acquired 87,900 · Balance 87,900

F1: The stock option will vest in full and become exercisable upon the earlier of (i) June 12, 2027 or (ii) the date of the Issuer's 2027 Annual Meeting of Stockholders, subject to Michael Lee's continued service on the board of directors of the Issuer through the applicable vesting date.

F2: The stock option award was granted to Mr. Lee, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the board of directors of the Issuer. Pursuant to the policies of Redmile, Mr. Lee holds this equity award as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the equity award to Redmile. Mr. Lee disclaims beneficial ownership of the equity award, and the filing of this Form 4 shall not be deemed an admission that Mr. Lee is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3: The stock option award may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the equity award except to the extent of their pecuniary interest therein, if any, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: Mr. Lee, a member of the board of directors of the Issuer and a managing director of Redmile, was elected to the board of the Issuer as a representative of Redmile and its affiliates. As a result, the Reporting Persons are directors by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

Filing footnotes · ownership attribution and instrument terms

F1: The stock option will vest in full and become exercisable upon the earlier of (i) June 12, 2027 or (ii) the date of the Issuer's 2027 Annual Meeting of Stockholders, subject to Michael Lee's continued service on the board of directors of the Issuer through the applicable vesting date.

F2: The stock option award was granted to Mr. Lee, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the board of directors of the Issuer. Pursuant to the policies of Redmile, Mr. Lee holds this equity award as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the equity award to Redmile. Mr. Lee disclaims beneficial ownership of the equity award, and the filing of this Form 4 shall not be deemed an admission that Mr. Lee is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3: The stock option award may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the equity award except to the extent of their pecuniary interest therein, if any, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: Mr. Lee, a member of the board of directors of the Issuer and a managing director of Redmile, was elected to the board of the Issuer as a representative of Redmile and its affiliates. As a result, the Reporting Persons are directors by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

MedAvail Holdings, Inc.

Report date June 16, 2023 · Filed June 22, 2023

Jointly reported with Green Jeremy, RedCo II Master Fund, L.P.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series A Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.39 · Expires 2028-06-16IndirectSee Footnote38,916,562 Reported balance After 2023-06-16 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2023-06-16 · Grant · Acquired 38,916,562 · Balance 38,916,562

F1: On June 16, 2023, the Issuer issued Series A Warrants to purchase up to an aggregate of 38,916,562 shares of the Issuer's common stock (the "Series A Warrant Shares") to RedCo II Master Fund, L.P. ("RedCo II"), a private investment vehicle managed by Redmile Group, LLC ("Redmile"). RedCo II acquired the right to receive the Series A Warrants pursuant to a securities purchase agreement, dated as of March 9, 2023 (the "Purchase Agreement"), in connection with a private placement of securities by the Issuer to certain investors on March 13, 2023 (the "Private Placement"). The issuance of the Series A Warrants under the Purchase Agreement was subject to stockholder approval under the applicable rules of The Nasdaq Stock Market LLC, which was obtained at the annual meeting of the Issuer's stockholders held on June 14, 2023.

F2: The Warrants are exercisable by a holder at any time on or after June 16, 2023 for a five-year term that expires on June 16, 2028 at an exercise price of $0.38544 per share.

F3: These securities are directly owned by RedCo II and may be deemed beneficially owned by Redmile as investment manager of RedCo II. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile (collectively with Redmile, the "Reporting Persons"). Each of Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Reporting Persons are a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series A Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.39 · Expires 2028-06-16Direct38,916,562 Reported balance After 2023-06-16 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2023-06-16 · Grant · Acquired 38,916,562 · Balance 38,916,562

F1: On June 16, 2023, the Issuer issued Series A Warrants to purchase up to an aggregate of 38,916,562 shares of the Issuer's common stock (the "Series A Warrant Shares") to RedCo II Master Fund, L.P. ("RedCo II"), a private investment vehicle managed by Redmile Group, LLC ("Redmile"). RedCo II acquired the right to receive the Series A Warrants pursuant to a securities purchase agreement, dated as of March 9, 2023 (the "Purchase Agreement"), in connection with a private placement of securities by the Issuer to certain investors on March 13, 2023 (the "Private Placement"). The issuance of the Series A Warrants under the Purchase Agreement was subject to stockholder approval under the applicable rules of The Nasdaq Stock Market LLC, which was obtained at the annual meeting of the Issuer's stockholders held on June 14, 2023.

F2: The Warrants are exercisable by a holder at any time on or after June 16, 2023 for a five-year term that expires on June 16, 2028 at an exercise price of $0.38544 per share.

F3: These securities are directly owned by RedCo II and may be deemed beneficially owned by Redmile as investment manager of RedCo II. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile (collectively with Redmile, the "Reporting Persons"). Each of Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Reporting Persons are a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: RedCo II acquired the Warrants directly in the Private Placement pursuant to the terms of the Purchase Agreement.

Filing footnotes · ownership attribution and instrument terms

F1: On June 16, 2023, the Issuer issued Series A Warrants to purchase up to an aggregate of 38,916,562 shares of the Issuer's common stock (the "Series A Warrant Shares") to RedCo II Master Fund, L.P. ("RedCo II"), a private investment vehicle managed by Redmile Group, LLC ("Redmile"). RedCo II acquired the right to receive the Series A Warrants pursuant to a securities purchase agreement, dated as of March 9, 2023 (the "Purchase Agreement"), in connection with a private placement of securities by the Issuer to certain investors on March 13, 2023 (the "Private Placement"). The issuance of the Series A Warrants under the Purchase Agreement was subject to stockholder approval under the applicable rules of The Nasdaq Stock Market LLC, which was obtained at the annual meeting of the Issuer's stockholders held on June 14, 2023.

F2: The Warrants are exercisable by a holder at any time on or after June 16, 2023 for a five-year term that expires on June 16, 2028 at an exercise price of $0.38544 per share.

F3: These securities are directly owned by RedCo II and may be deemed beneficially owned by Redmile as investment manager of RedCo II. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile (collectively with Redmile, the "Reporting Persons"). Each of Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Reporting Persons are a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: RedCo II acquired the Warrants directly in the Private Placement pursuant to the terms of the Purchase Agreement.

Neurogene Inc.

Report date March 27, 2020 · Filed April 06, 2020

Jointly reported with Green Jeremy

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote4,041,211 Last balance in matching sequence After 2020-04-02 transaction · row 13 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
13 source rows

Row 1 · 2020-03-27 · Purchase · Acquired 50,000 · Balance 3,916,579

F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.88 to $9.48, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC (?Redmile?) and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 2 · 2020-03-30 · Purchase · Acquired 29,800 · Balance 3,946,379

F3: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.12 to $10.11, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC (?Redmile?) and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 3 · 2020-03-30 · Purchase · Acquired 2,700 · Balance 3,949,079

F4: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.14 to $10.88, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC (?Redmile?) and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 4 · 2020-03-31 · Purchase · Acquired 22,500 · Balance 3,971,579

F5: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.64 to $10.64, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC (?Redmile?) and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 5 · 2020-03-31 · Purchase · Acquired 7,500 · Balance 3,979,079

F6: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.65 to $10.84, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC (?Redmile?) and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 6 · 2020-04-01 · Purchase · Acquired 33,500 · Balance 4,012,579

F7: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.41 to $11.41, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC (?Redmile?) and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 7 · 2020-04-01 · Purchase · Acquired 9,000 · Balance 4,021,579

F8: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.42 to $11.91, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC (?Redmile?) and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 8 · 2020-04-01 · Sale · Disposed 9,634 · Balance 4,011,945

F9: The Reporting Persons? pecuniary interest in the sales of an aggregate of 19,668 shares of the Issuer?s common stock on April 1, 2020 and April 2, 2020 reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of the Reporting Persons? pecuniary interest in 9,100 shares of the Issuer?s common stock purchased at prices ranging from $8.86 to $9.11 per share on March 26, 2020 and 10,568 shares of the Issuer?s common stock purchased at prices ranging from $8.88 to $9.115 per share on March 28, 2020. The Reporting Persons have agreed to pay to the Issuer the full amount of the Reporting Persons? pecuniary interest in the deemed profit realized in connection with the short-swing transactions, less transaction costs.

F10: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.76 to $11.72, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares sold at each separate price.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC (?Redmile?) and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 9 · 2020-04-01 · Sale · Disposed 200 · Balance 4,011,745

F9: The Reporting Persons? pecuniary interest in the sales of an aggregate of 19,668 shares of the Issuer?s common stock on April 1, 2020 and April 2, 2020 reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of the Reporting Persons? pecuniary interest in 9,100 shares of the Issuer?s common stock purchased at prices ranging from $8.86 to $9.11 per share on March 26, 2020 and 10,568 shares of the Issuer?s common stock purchased at prices ranging from $8.88 to $9.115 per share on March 28, 2020. The Reporting Persons have agreed to pay to the Issuer the full amount of the Reporting Persons? pecuniary interest in the deemed profit realized in connection with the short-swing transactions, less transaction costs.

F11: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.85 to $11.88, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares sold at each separate price.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC (?Redmile?) and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 10 · 2020-04-02 · Purchase · Acquired 38,300 · Balance 4,050,045

F12: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.795 to $11.78, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC (?Redmile?) and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 11 · 2020-04-02 · Purchase · Acquired 1,000 · Balance 4,051,045

F13: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.805 to $11.91, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC (?Redmile?) and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 12 · 2020-04-02 · Sale · Disposed 9,734 · Balance 4,041,311

F9: The Reporting Persons? pecuniary interest in the sales of an aggregate of 19,668 shares of the Issuer?s common stock on April 1, 2020 and April 2, 2020 reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of the Reporting Persons? pecuniary interest in 9,100 shares of the Issuer?s common stock purchased at prices ranging from $8.86 to $9.11 per share on March 26, 2020 and 10,568 shares of the Issuer?s common stock purchased at prices ranging from $8.88 to $9.115 per share on March 28, 2020. The Reporting Persons have agreed to pay to the Issuer the full amount of the Reporting Persons? pecuniary interest in the deemed profit realized in connection with the short-swing transactions, less transaction costs.

F14: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.795 to $11.7425, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares sold at each separate price.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC (?Redmile?) and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 13 · 2020-04-02 · Sale · Disposed 100 · Balance 4,041,211

F9: The Reporting Persons? pecuniary interest in the sales of an aggregate of 19,668 shares of the Issuer?s common stock on April 1, 2020 and April 2, 2020 reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of the Reporting Persons? pecuniary interest in 9,100 shares of the Issuer?s common stock purchased at prices ranging from $8.86 to $9.11 per share on March 26, 2020 and 10,568 shares of the Issuer?s common stock purchased at prices ranging from $8.88 to $9.115 per share on March 28, 2020. The Reporting Persons have agreed to pay to the Issuer the full amount of the Reporting Persons? pecuniary interest in the deemed profit realized in connection with the short-swing transactions, less transaction costs.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC (?Redmile?) and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.88 to $9.48, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC (?Redmile?) and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.12 to $10.11, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F4: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.14 to $10.88, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F5: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.64 to $10.64, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F6: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.65 to $10.84, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F7: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.41 to $11.41, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F8: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.42 to $11.91, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F9: The Reporting Persons? pecuniary interest in the sales of an aggregate of 19,668 shares of the Issuer?s common stock on April 1, 2020 and April 2, 2020 reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of the Reporting Persons? pecuniary interest in 9,100 shares of the Issuer?s common stock purchased at prices ranging from $8.86 to $9.11 per share on March 26, 2020 and 10,568 shares of the Issuer?s common stock purchased at prices ranging from $8.88 to $9.115 per share on March 28, 2020. The Reporting Persons have agreed to pay to the Issuer the full amount of the Reporting Persons? pecuniary interest in the deemed profit realized in connection with the short-swing transactions, less transaction costs.

F10: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.76 to $11.72, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares sold at each separate price.

F11: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.85 to $11.88, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares sold at each separate price.

F12: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.795 to $11.78, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F13: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.805 to $11.91, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F14: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.795 to $11.7425, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares sold at each separate price.

XERIS PHARMACEUTICALS INC

Report date February 19, 2019 · Filed February 21, 2019

Jointly reported with Green Jeremy

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee note3,000,642 Reported balance After 2019-02-19 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2019-02-19 · Purchase · Acquired 588,000 · Balance 3,000,642

F1: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Zymeworks Inc.

Report date October 13, 2022 · Filed October 18, 2022 · Amendment

Jointly reported with Green Jeremy

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $0.00001 per shareSEC Table I · non-derivativeIndirectSee Footnote6,075,918 Reported balance After 2022-10-13 transaction · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 1 · 2022-10-13 · Purchase · Acquired 30,481 · Balance 6,075,918

F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.89 to $5.18, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.89 to $5.18, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Past disclosures · reporting ended (29)

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

ADC Therapeutics SA

Report date March 31, 2026 · Filed April 03, 2026

Jointly reported with Green Jeremy, RedCo II Master Fund, L.P.

Section 16 reporting ended · disclosed 2026-04-03. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote12,666,731 Last balance in matching sequence After 2026-04-02 transaction · row 5 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2026-03-31 · Sale · Disposed 196,229 · Balance 15,470,502

F3: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.63 to $3.81, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F1: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P., and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Row 3 · 2026-04-01 · Sale · Disposed 169,265 · Balance 15,301,237

F4: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.70 to $3.83, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F1: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P., and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Row 5 · 2026-04-02 · Sale · Disposed 2,634,506 · Balance 12,666,731

F5: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.25 to $3.77, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F1: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P., and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

Common StockSEC Table I · non-derivativeDirect10,265,297 Last balance in matching sequence After 2026-04-02 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 2 · 2026-03-31 · Sale · Disposed 188,407 · Balance 12,957,305

F3: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.63 to $3.81, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2: These securities are directly owned by RedCo II Master Fund, L.P.

Row 4 · 2026-04-01 · Sale · Disposed 162,517 · Balance 12,794,788

F4: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.70 to $3.83, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2: These securities are directly owned by RedCo II Master Fund, L.P.

Row 6 · 2026-04-02 · Sale · Disposed 2,529,491 · Balance 10,265,297

F5: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.25 to $3.77, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2: These securities are directly owned by RedCo II Master Fund, L.P.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P., and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

F2: These securities are directly owned by RedCo II Master Fund, L.P.

F3: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.63 to $3.81, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F4: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.70 to $3.83, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F5: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.25 to $3.77, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

ALDER BIOPHARMACEUTICALS INC

Report date October 22, 2019 · Filed October 24, 2019

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2019-10-24. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2019-10-22 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2019-10-22 · Other · Disposed 8,244,896 · Balance 0

F1: On October 22, 2019, Violet Acquisition Corp., a Delaware corporation and a direct wholly owned subsidiary (the "Purchaser") of H. Lundbeck A/S, a Danish aktieselskab ("Lundbeck"), consummated a tender offer (the "Tender Offer") to acquire all tendered shares of common stock of the Issuer. Following the Tender Offer, on October 22, 2019, the Purchaser merged with and into the Issuer with the Issuer surviving the merger as a wholly owned subsidiary of Lundbeck (the "Merger").

F2: Pursuant to the Tender Offer, these shares of the Issuer's common stock were exchanged for consideration of (i) $18.00 per share of the Issuer's common stock, net to the seller in cash (the "Closing Amount"), without interest and less any applicable withholding taxes, plus (ii) one contingent value right (a "CVR") per share of the Issuer's common stock, which represents the right to receive $2.00 per CVR (the "Milestone Payment"), net to the seller in cash, without interest and less any applicable withholding taxes, upon the achievement of a regulatory milestone (the Closing Amount plus one CVR collectively, the "Consideration").

F3: These securities were directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: Mr. Green, a member of the board of directors of the Issuer, was elected to that board as a representative of Redmile. As a result, Redmile is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

F5: Contingent upon, and effective as of, the effective time of the Merger (the "Effective Time"), on October 22, 2019, Jeremy Green resigned as a director of the Issuer and Redmile may no longer be deemed a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

Class A-1 Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-10-22 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2019-10-22 · Other · Disposed 779,776 · Balance 0

F6: The Class A-1 Convertible Preferred Stock was convertible into shares of the Issuer's common stock in accordance with the terms of the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A-1 Convertible Preferred Stock (the "Certificate of Designation") at any time and from time to time at the holder's election based on the conversion rate in effect at the time of conversion. The shares of Class A-1 Convertible Preferred Stock were convertible on a 1-for-10 basis and such conversion rate is reflected in the amount listed under Column 7.

F7: The terms of the Class A-1 Convertible Preferred Stock provided that the holder did not have the right to convert any portion of the Class A-1 Preferred Stock held by the holder, to the extent that, after giving effect to the conversion set forth in a notice of conversion, such holder, together with such holder's affiliates, and any persons acting as a group together with such holder or affiliates, would beneficially own in excess of 9.99% of the shares of the Issuer's common stock then issued and outstanding, which percentage may be changed at a holder's election upon 61 days' notice to the Issuer. The Class A-1 Convertible Preferred Stock had no expiration date.

F8: On October 22, 2019, pursuant to the Certificate of Designation, upon the consummation of the Tender Offer, each share of Class A-1 Convertible Preferred Stock was automatically cancelled in exchange for the amount of Consideration that would have been exchanged for the shares of the Issuer's common stock issuable upon the conversion of such share of Class A-1 Convertible Preferred Stock had such share of Class A-1 Convertible Preferred Stock been converted into the Issuer's common stock immediately prior to the consummation of the Tender Offer.

F3: These securities were directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: Mr. Green, a member of the board of directors of the Issuer, was elected to that board as a representative of Redmile. As a result, Redmile is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

F5: Contingent upon, and effective as of, the effective time of the Merger (the "Effective Time"), on October 22, 2019, Jeremy Green resigned as a director of the Issuer and Redmile may no longer be deemed a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

Class A-1 Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote75,000 Reported balance After 2019-10-22 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2019-10-22 · Other · Acquired 75,000 · Balance 75,000

F6: The Class A-1 Convertible Preferred Stock was convertible into shares of the Issuer's common stock in accordance with the terms of the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A-1 Convertible Preferred Stock (the "Certificate of Designation") at any time and from time to time at the holder's election based on the conversion rate in effect at the time of conversion. The shares of Class A-1 Convertible Preferred Stock were convertible on a 1-for-10 basis and such conversion rate is reflected in the amount listed under Column 7.

F7: The terms of the Class A-1 Convertible Preferred Stock provided that the holder did not have the right to convert any portion of the Class A-1 Preferred Stock held by the holder, to the extent that, after giving effect to the conversion set forth in a notice of conversion, such holder, together with such holder's affiliates, and any persons acting as a group together with such holder or affiliates, would beneficially own in excess of 9.99% of the shares of the Issuer's common stock then issued and outstanding, which percentage may be changed at a holder's election upon 61 days' notice to the Issuer. The Class A-1 Convertible Preferred Stock had no expiration date.

F10: Effective as of the Effective Time, the Reporting Persons exercised the Warrants for $137.88 per share of Class A-1 Convertible Preferred Stock. The Reporting Persons paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 54,757 shares of Class A-1 Convertible Preferred Stock to pay the exercise price and issuing to the Reporting Persons the remaining 20,243 shares. The Issuer also paid $626.06 to the Reporting Persons in lieu of fractional shares.

F3: These securities were directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: Mr. Green, a member of the board of directors of the Issuer, was elected to that board as a representative of Redmile. As a result, Redmile is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

F5: Contingent upon, and effective as of, the effective time of the Merger (the "Effective Time"), on October 22, 2019, Jeremy Green resigned as a director of the Issuer and Redmile may no longer be deemed a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

Class A-1 Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $188.64IndirectSee Footnote20,243 Reported balance After 2019-10-22 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2019-10-22 · Disposition to issuer · Disposed 54,757 · Balance 20,243

F10: Effective as of the Effective Time, the Reporting Persons exercised the Warrants for $137.88 per share of Class A-1 Convertible Preferred Stock. The Reporting Persons paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 54,757 shares of Class A-1 Convertible Preferred Stock to pay the exercise price and issuing to the Reporting Persons the remaining 20,243 shares. The Issuer also paid $626.06 to the Reporting Persons in lieu of fractional shares.

F6: The Class A-1 Convertible Preferred Stock was convertible into shares of the Issuer's common stock in accordance with the terms of the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A-1 Convertible Preferred Stock (the "Certificate of Designation") at any time and from time to time at the holder's election based on the conversion rate in effect at the time of conversion. The shares of Class A-1 Convertible Preferred Stock were convertible on a 1-for-10 basis and such conversion rate is reflected in the amount listed under Column 7.

F7: The terms of the Class A-1 Convertible Preferred Stock provided that the holder did not have the right to convert any portion of the Class A-1 Preferred Stock held by the holder, to the extent that, after giving effect to the conversion set forth in a notice of conversion, such holder, together with such holder's affiliates, and any persons acting as a group together with such holder or affiliates, would beneficially own in excess of 9.99% of the shares of the Issuer's common stock then issued and outstanding, which percentage may be changed at a holder's election upon 61 days' notice to the Issuer. The Class A-1 Convertible Preferred Stock had no expiration date.

F3: These securities were directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: Mr. Green, a member of the board of directors of the Issuer, was elected to that board as a representative of Redmile. As a result, Redmile is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

F5: Contingent upon, and effective as of, the effective time of the Merger (the "Effective Time"), on October 22, 2019, Jeremy Green resigned as a director of the Issuer and Redmile may no longer be deemed a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

Class A-1 Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-10-22 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2019-10-22 · Other · Disposed 20,243 · Balance 0

F6: The Class A-1 Convertible Preferred Stock was convertible into shares of the Issuer's common stock in accordance with the terms of the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A-1 Convertible Preferred Stock (the "Certificate of Designation") at any time and from time to time at the holder's election based on the conversion rate in effect at the time of conversion. The shares of Class A-1 Convertible Preferred Stock were convertible on a 1-for-10 basis and such conversion rate is reflected in the amount listed under Column 7.

F7: The terms of the Class A-1 Convertible Preferred Stock provided that the holder did not have the right to convert any portion of the Class A-1 Preferred Stock held by the holder, to the extent that, after giving effect to the conversion set forth in a notice of conversion, such holder, together with such holder's affiliates, and any persons acting as a group together with such holder or affiliates, would beneficially own in excess of 9.99% of the shares of the Issuer's common stock then issued and outstanding, which percentage may be changed at a holder's election upon 61 days' notice to the Issuer. The Class A-1 Convertible Preferred Stock had no expiration date.

F11: On October 22, 2019, pursuant to the Certificate of Designation, effective as of the Effective Time, each share of Class A-1 Convertible Preferred Stock was automatically cancelled in exchange for the amount of Consideration that would have been exchanged for the shares of the Issuer's common stock issuable upon the conversion of such share of Class A-1 Convertible Preferred Stock had such share of Class A-1 Convertible Preferred Stock been converted into the Issuer's common stock immediately prior to the consummation of the Tender Offer.

F3: These securities were directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: Mr. Green, a member of the board of directors of the Issuer, was elected to that board as a representative of Redmile. As a result, Redmile is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

F5: Contingent upon, and effective as of, the effective time of the Merger (the "Effective Time"), on October 22, 2019, Jeremy Green resigned as a director of the Issuer and Redmile may no longer be deemed a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

Class A-1 Convertible Preferred Stock Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $137.88 · Expires 2029-10-22IndirectSee Footnote75,000 Reported balance After 2019-10-22 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2019-10-22 · Other · Acquired 75,000 · Balance 75,000

F9: Effective as of the Effective Time, the Issuer issued warrants (the "Warrants") to purchase an aggregate of 75,000 shares of Class A-1 Convertible Preferred Stock to the Reporting Persons pursuant to the terms of that certain Preferred Stock Purchase Agreement, dated as of January 7, 2018, by and among the Issuer and the buyers listed on the Schedule of Buyers attached thereto as Exhibit A.

F3: These securities were directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: Mr. Green, a member of the board of directors of the Issuer, was elected to that board as a representative of Redmile. As a result, Redmile is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

F5: Contingent upon, and effective as of, the effective time of the Merger (the "Effective Time"), on October 22, 2019, Jeremy Green resigned as a director of the Issuer and Redmile may no longer be deemed a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

Class A-1 Convertible Preferred Stock Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $137.88 · Expires 2029-10-22IndirectSee Footnote0 Reported balance After 2019-10-22 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2019-10-22 · Other · Disposed 75,000 · Balance 0

F10: Effective as of the Effective Time, the Reporting Persons exercised the Warrants for $137.88 per share of Class A-1 Convertible Preferred Stock. The Reporting Persons paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 54,757 shares of Class A-1 Convertible Preferred Stock to pay the exercise price and issuing to the Reporting Persons the remaining 20,243 shares. The Issuer also paid $626.06 to the Reporting Persons in lieu of fractional shares.

F3: These securities were directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: Mr. Green, a member of the board of directors of the Issuer, was elected to that board as a representative of Redmile. As a result, Redmile is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

F5: Contingent upon, and effective as of, the effective time of the Merger (the "Effective Time"), on October 22, 2019, Jeremy Green resigned as a director of the Issuer and Redmile may no longer be deemed a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.20 · Expires 2028-04-25IndirectSee Footnote0 Reported balance After 2019-10-22 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2019-10-22 · Disposition to issuer · Disposed 30,000 · Balance 0

F12: This option, which provided for vesting in three equal annual installments beginning April 25, 2019, was cancelled in the Merger in exchange for the right to receive both (i) a cash payment representing (A) the excess of (x) $18.00 over (y) the exercise price payable per share of the Issuer's common stock, multiplied by (B) the total number of shares of the Issuer's common stock subject to such option immediately prior to the Effective Time, subject to any withholding of taxes, and (ii) one CVR for each share of the Issuer's common stock subject to such option immediately prior to the Effective Time.

F3: These securities were directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: Mr. Green, a member of the board of directors of the Issuer, was elected to that board as a representative of Redmile. As a result, Redmile is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

F5: Contingent upon, and effective as of, the effective time of the Merger (the "Effective Time"), on October 22, 2019, Jeremy Green resigned as a director of the Issuer and Redmile may no longer be deemed a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

F13: The stock option was granted to Mr. Green in connection with his service on the Board of Directors of the Issuer. Pursuant to the policies of Redmile, Mr. Green held this stock option as a nominee on behalf, and for the sole benefit, of Redmile and assigned all economic, pecuniary and voting rights in respect of the stock option to Redmile. Mr. Green disclaims beneficial ownership of the stock option, and the filing of this Form 4 shall not be deemed an admission that Mr. Green is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Redmile disclaims beneficial ownership of the stock option except to the extent of its pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.50 · Expires 2028-05-22IndirectSee Footnote0 Reported balance After 2019-10-22 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2019-10-22 · Disposition to issuer · Disposed 15,000 · Balance 0

F14: This option, which vested in full on May 22, 2019, was cancelled in the Merger in exchange for the right to receive both (i) a cash payment representing (A) the excess of (x) $18.00 over (y) the exercise price payable per share of the Issuer's common stock, multiplied by (B) the total number of shares of the Issuer's common stock subject to such option immediately prior to the Effective Time, subject to any withholding of taxes, and (ii) one CVR for each share of the Issuer's common stock subject to such option immediately prior to the Effective Time.

F3: These securities were directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: Mr. Green, a member of the board of directors of the Issuer, was elected to that board as a representative of Redmile. As a result, Redmile is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

F5: Contingent upon, and effective as of, the effective time of the Merger (the "Effective Time"), on October 22, 2019, Jeremy Green resigned as a director of the Issuer and Redmile may no longer be deemed a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

F13: The stock option was granted to Mr. Green in connection with his service on the Board of Directors of the Issuer. Pursuant to the policies of Redmile, Mr. Green held this stock option as a nominee on behalf, and for the sole benefit, of Redmile and assigned all economic, pecuniary and voting rights in respect of the stock option to Redmile. Mr. Green disclaims beneficial ownership of the stock option, and the filing of this Form 4 shall not be deemed an admission that Mr. Green is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Redmile disclaims beneficial ownership of the stock option except to the extent of its pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.01 · Expires 2029-05-22IndirectSee Footnote0 Reported balance After 2019-10-22 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2019-10-22 · Disposition to issuer · Disposed 22,500 · Balance 0

F15: This option, which provided for vesting in full on the date of the 2020 Annual Meeting of the Stockholders of the Issuer, was cancelled in the Merger in exchange for the right to receive both (i) a cash payment representing (A) the excess of (x) $18.00 over (y) the exercise price payable per share of the Issuer's common stock, multiplied by (B) the total number of shares of the Issuer's common stock subject to such option immediately prior to the Effective Time, subject to any withholding of taxes, and (ii) one CVR for each share of the Issuer's common stock subject to such option immediately prior to the Effective Time.

F3: These securities were directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: Mr. Green, a member of the board of directors of the Issuer, was elected to that board as a representative of Redmile. As a result, Redmile is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

F5: Contingent upon, and effective as of, the effective time of the Merger (the "Effective Time"), on October 22, 2019, Jeremy Green resigned as a director of the Issuer and Redmile may no longer be deemed a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

F13: The stock option was granted to Mr. Green in connection with his service on the Board of Directors of the Issuer. Pursuant to the policies of Redmile, Mr. Green held this stock option as a nominee on behalf, and for the sole benefit, of Redmile and assigned all economic, pecuniary and voting rights in respect of the stock option to Redmile. Mr. Green disclaims beneficial ownership of the stock option, and the filing of this Form 4 shall not be deemed an admission that Mr. Green is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Redmile disclaims beneficial ownership of the stock option except to the extent of its pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On October 22, 2019, Violet Acquisition Corp., a Delaware corporation and a direct wholly owned subsidiary (the "Purchaser") of H. Lundbeck A/S, a Danish aktieselskab ("Lundbeck"), consummated a tender offer (the "Tender Offer") to acquire all tendered shares of common stock of the Issuer. Following the Tender Offer, on October 22, 2019, the Purchaser merged with and into the Issuer with the Issuer surviving the merger as a wholly owned subsidiary of Lundbeck (the "Merger").

F2: Pursuant to the Tender Offer, these shares of the Issuer's common stock were exchanged for consideration of (i) $18.00 per share of the Issuer's common stock, net to the seller in cash (the "Closing Amount"), without interest and less any applicable withholding taxes, plus (ii) one contingent value right (a "CVR") per share of the Issuer's common stock, which represents the right to receive $2.00 per CVR (the "Milestone Payment"), net to the seller in cash, without interest and less any applicable withholding taxes, upon the achievement of a regulatory milestone (the Closing Amount plus one CVR collectively, the "Consideration").

F3: These securities were directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: Mr. Green, a member of the board of directors of the Issuer, was elected to that board as a representative of Redmile. As a result, Redmile is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

F5: Contingent upon, and effective as of, the effective time of the Merger (the "Effective Time"), on October 22, 2019, Jeremy Green resigned as a director of the Issuer and Redmile may no longer be deemed a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

F6: The Class A-1 Convertible Preferred Stock was convertible into shares of the Issuer's common stock in accordance with the terms of the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A-1 Convertible Preferred Stock (the "Certificate of Designation") at any time and from time to time at the holder's election based on the conversion rate in effect at the time of conversion. The shares of Class A-1 Convertible Preferred Stock were convertible on a 1-for-10 basis and such conversion rate is reflected in the amount listed under Column 7.

F7: The terms of the Class A-1 Convertible Preferred Stock provided that the holder did not have the right to convert any portion of the Class A-1 Preferred Stock held by the holder, to the extent that, after giving effect to the conversion set forth in a notice of conversion, such holder, together with such holder's affiliates, and any persons acting as a group together with such holder or affiliates, would beneficially own in excess of 9.99% of the shares of the Issuer's common stock then issued and outstanding, which percentage may be changed at a holder's election upon 61 days' notice to the Issuer. The Class A-1 Convertible Preferred Stock had no expiration date.

F8: On October 22, 2019, pursuant to the Certificate of Designation, upon the consummation of the Tender Offer, each share of Class A-1 Convertible Preferred Stock was automatically cancelled in exchange for the amount of Consideration that would have been exchanged for the shares of the Issuer's common stock issuable upon the conversion of such share of Class A-1 Convertible Preferred Stock had such share of Class A-1 Convertible Preferred Stock been converted into the Issuer's common stock immediately prior to the consummation of the Tender Offer.

F9: Effective as of the Effective Time, the Issuer issued warrants (the "Warrants") to purchase an aggregate of 75,000 shares of Class A-1 Convertible Preferred Stock to the Reporting Persons pursuant to the terms of that certain Preferred Stock Purchase Agreement, dated as of January 7, 2018, by and among the Issuer and the buyers listed on the Schedule of Buyers attached thereto as Exhibit A.

F10: Effective as of the Effective Time, the Reporting Persons exercised the Warrants for $137.88 per share of Class A-1 Convertible Preferred Stock. The Reporting Persons paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 54,757 shares of Class A-1 Convertible Preferred Stock to pay the exercise price and issuing to the Reporting Persons the remaining 20,243 shares. The Issuer also paid $626.06 to the Reporting Persons in lieu of fractional shares.

F11: On October 22, 2019, pursuant to the Certificate of Designation, effective as of the Effective Time, each share of Class A-1 Convertible Preferred Stock was automatically cancelled in exchange for the amount of Consideration that would have been exchanged for the shares of the Issuer's common stock issuable upon the conversion of such share of Class A-1 Convertible Preferred Stock had such share of Class A-1 Convertible Preferred Stock been converted into the Issuer's common stock immediately prior to the consummation of the Tender Offer.

F12: This option, which provided for vesting in three equal annual installments beginning April 25, 2019, was cancelled in the Merger in exchange for the right to receive both (i) a cash payment representing (A) the excess of (x) $18.00 over (y) the exercise price payable per share of the Issuer's common stock, multiplied by (B) the total number of shares of the Issuer's common stock subject to such option immediately prior to the Effective Time, subject to any withholding of taxes, and (ii) one CVR for each share of the Issuer's common stock subject to such option immediately prior to the Effective Time.

F13: The stock option was granted to Mr. Green in connection with his service on the Board of Directors of the Issuer. Pursuant to the policies of Redmile, Mr. Green held this stock option as a nominee on behalf, and for the sole benefit, of Redmile and assigned all economic, pecuniary and voting rights in respect of the stock option to Redmile. Mr. Green disclaims beneficial ownership of the stock option, and the filing of this Form 4 shall not be deemed an admission that Mr. Green is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Redmile disclaims beneficial ownership of the stock option except to the extent of its pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F14: This option, which vested in full on May 22, 2019, was cancelled in the Merger in exchange for the right to receive both (i) a cash payment representing (A) the excess of (x) $18.00 over (y) the exercise price payable per share of the Issuer's common stock, multiplied by (B) the total number of shares of the Issuer's common stock subject to such option immediately prior to the Effective Time, subject to any withholding of taxes, and (ii) one CVR for each share of the Issuer's common stock subject to such option immediately prior to the Effective Time.

F15: This option, which provided for vesting in full on the date of the 2020 Annual Meeting of the Stockholders of the Issuer, was cancelled in the Merger in exchange for the right to receive both (i) a cash payment representing (A) the excess of (x) $18.00 over (y) the exercise price payable per share of the Issuer's common stock, multiplied by (B) the total number of shares of the Issuer's common stock subject to such option immediately prior to the Effective Time, subject to any withholding of taxes, and (ii) one CVR for each share of the Issuer's common stock subject to such option immediately prior to the Effective Time.

Akero Therapeutics, Inc.

Report date June 24, 2019 · Filed June 24, 2019

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2019-06-24. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote743,802 Reported balance After 2019-06-24 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2019-06-24 · Conversion · Acquired 743,802 · Balance 743,802

F1: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-0.32529 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series B Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-06-24 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2019-06-24 · Conversion · Disposed 2,286,585 · Balance 0

F1: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-0.32529 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-0.32529 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Allakos Inc.

Report date July 23, 2018 · Filed July 25, 2018

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2018-07-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote1,009,090 Reported balance After 2018-07-23 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2018-07-23 · Conversion · Acquired 1,009,090 · Balance 1,009,090

F1: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1.25-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series B Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2018-07-23 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2018-07-23 · Conversion · Disposed 1,261,365 · Balance 0

F1: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1.25-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1.25-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Annexon, Inc.

Report date July 28, 2020 · Filed July 30, 2020

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2020-07-30. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote1,596,222 Reported balance After 2020-07-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-07-28 · Conversion · Acquired 1,596,222 · Balance 1,596,222

F1: The Series D Redeemable Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-0.1135074 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series D Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2020-07-28 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2020-07-28 · Conversion · Disposed 14,062,719 · Balance 0

F1: The Series D Redeemable Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-0.1135074 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series D Redeemable Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-0.1135074 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Aprea Therapeutics, Inc.

Report date December 28, 2020 · Filed February 16, 2021

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2021-02-16. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote1,768,718 Last balance in matching sequence After 2020-12-28 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2020-12-28 · Sale · Disposed 494,137 · Balance 1,774,581

F1: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 2 · 2020-12-28 · Sale · Disposed 5,863 · Balance 1,768,718

F1: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Atreca, Inc.

Report date June 24, 2019 · Filed June 24, 2019

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2019-06-24. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote715,306 Reported balance After 2019-06-24 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2019-06-24 · Conversion · Acquired 715,306 · Balance 715,306

F1: The Series C1 Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series C1 Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-06-24 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2019-06-24 · Conversion · Disposed 715,306 · Balance 0

F1: The Series C1 Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series C1 Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Attovia Therapeutics, Inc.

Report date August 06, 2026 · Filed August 08, 2026

Jointly reported with Green Jeremy, Redmile Biopharma Investments III, L.P.

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes782,854 Reported balance After 2026-08-06 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2026-08-06 · Conversion · Acquired 782,854 · Balance 782,854

F1: On August 6, 2026, the Series B Preferred Stock converted by its terms in full automatically into shares of the Issuer's common stock, upon the consummation of the Issuer's initial public offering ("IPO"), for no consideration. The Series B Preferred Stock had no expiration date.

F2: These securities are held directly by Redmile Biopharma Investments III, L.P. ("RBI III"), which is managed by Redmile Group, LLC ("Redmile"). RBI III disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that RBI III is the beneficial owner of the reported securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

F4: Redmile may be deemed to beneficially own the reported securities as the investment manager of RBI III and the other Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any. This report shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee footnotes1,182,854 Reported balance After 2026-08-06 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2026-08-06 · Purchase · Acquired 400,000 · Balance 1,182,854

F3: These securities were purchased in the IPO by certain private investment vehicles managed by Redmile (collectively, the "Redmile Clients"), and include the number of securities purchased by RBI III in the IPO reported in the line above.

F4: Redmile may be deemed to beneficially own the reported securities as the investment manager of RBI III and the other Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any. This report shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Common StockSEC Table I · non-derivativeDirect982,854 Reported balance After 2026-08-06 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2026-08-06 · Purchase · Acquired 200,000 · Balance 982,854

F2: These securities are held directly by Redmile Biopharma Investments III, L.P. ("RBI III"), which is managed by Redmile Group, LLC ("Redmile"). RBI III disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that RBI III is the beneficial owner of the reported securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

F4: Redmile may be deemed to beneficially own the reported securities as the investment manager of RBI III and the other Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any. This report shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnotes0 Reported balance After 2026-08-06 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2026-08-06 · Conversion · Disposed 782,854 · Balance 0

F1: On August 6, 2026, the Series B Preferred Stock converted by its terms in full automatically into shares of the Issuer's common stock, upon the consummation of the Issuer's initial public offering ("IPO"), for no consideration. The Series B Preferred Stock had no expiration date.

F2: These securities are held directly by Redmile Biopharma Investments III, L.P. ("RBI III"), which is managed by Redmile Group, LLC ("Redmile"). RBI III disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that RBI III is the beneficial owner of the reported securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

F4: Redmile may be deemed to beneficially own the reported securities as the investment manager of RBI III and the other Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any. This report shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On August 6, 2026, the Series B Preferred Stock converted by its terms in full automatically into shares of the Issuer's common stock, upon the consummation of the Issuer's initial public offering ("IPO"), for no consideration. The Series B Preferred Stock had no expiration date.

F2: These securities are held directly by Redmile Biopharma Investments III, L.P. ("RBI III"), which is managed by Redmile Group, LLC ("Redmile"). RBI III disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that RBI III is the beneficial owner of the reported securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

F3: These securities were purchased in the IPO by certain private investment vehicles managed by Redmile (collectively, the "Redmile Clients"), and include the number of securities purchased by RBI III in the IPO reported in the line above.

F4: Redmile may be deemed to beneficially own the reported securities as the investment manager of RBI III and the other Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any. This report shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Augmedix, Inc.

Report date October 02, 2024 · Filed October 04, 2024

Jointly reported with Green Jeremy, RedCo II Master Fund, L.P., Redmile Private Investments II, L.P.

Section 16 reporting ended · disclosed 2024-10-04. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2024-10-02 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2024-10-02 · Disposition to issuer · Disposed 16,421,788 · Balance 0

F1: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F3: The securities of the Issuer reported herein are directly owned by certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), including RedCo II Master Fund, L.P. and Redmile Private Investments II, L.P. (the "Reporting Funds"), and may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of the Reporting Funds, Redmile and Mr. Green (collectively, the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such Reporting Person is a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2024-10-02 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2024-10-02 · Disposition to issuer · Disposed 9,446,146 · Balance 0

F1: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F4: The shares of Common Stock, Pre-Funded Warrants and Breakeven Warrants of the Issuer reported herein are owned directly by RedCo II Master Fund, L.P.

Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2024-10-02 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2024-10-02 · Disposition to issuer · Disposed 6,218,238 · Balance 0

F1: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F5: The shares of Common Stock of the Issuer reported herein are owned directly by Redmile Private Investments II, L.P.

Pre-Funded Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee Footnote0 Reported balance After 2024-10-02 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2024-10-02 · Disposition to issuer · Disposed 3,125,195 · Balance 0

F1: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F6: The Pre-Funded Warrants are exercisable by the holder at any time until fully exercised at an exercise price of $0.0001 per share of the Issuer's common stock (the "Pre-Funded Warrant Share"), subject to a limitation on the right of the Issuer to issue the Pre-Funded Warrant Shares if and to the extent that such exercise would violate the rules or regulations of Nasdaq Stock Market LLC. The Pre-Funded Warrants have no expiration date.

F3: The securities of the Issuer reported herein are directly owned by certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), including RedCo II Master Fund, L.P. and Redmile Private Investments II, L.P. (the "Reporting Funds"), and may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of the Reporting Funds, Redmile and Mr. Green (collectively, the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such Reporting Person is a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Pre-Funded Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00Direct0 Reported balance After 2024-10-02 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2024-10-02 · Disposition to issuer · Disposed 3,125,195 · Balance 0

F1: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F6: The Pre-Funded Warrants are exercisable by the holder at any time until fully exercised at an exercise price of $0.0001 per share of the Issuer's common stock (the "Pre-Funded Warrant Share"), subject to a limitation on the right of the Issuer to issue the Pre-Funded Warrant Shares if and to the extent that such exercise would violate the rules or regulations of Nasdaq Stock Market LLC. The Pre-Funded Warrants have no expiration date.

F4: The shares of Common Stock, Pre-Funded Warrants and Breakeven Warrants of the Issuer reported herein are owned directly by RedCo II Master Fund, L.P.

Breakeven WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $1.75IndirectSee Footnote0 Reported balance After 2024-10-02 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2024-10-02 · Disposition to issuer · Disposed 1,093,799 · Balance 0

F1: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F7: The Breakeven Warrants became exercisable upon the closing of the closing of the underwritten public offering on November 20, 2023. The Breakeven Warrants will expire on the seventh anniversary of the issuance date.

F3: The securities of the Issuer reported herein are directly owned by certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), including RedCo II Master Fund, L.P. and Redmile Private Investments II, L.P. (the "Reporting Funds"), and may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of the Reporting Funds, Redmile and Mr. Green (collectively, the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such Reporting Person is a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Breakeven WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $1.75Direct0 Reported balance After 2024-10-02 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2024-10-02 · Disposition to issuer · Disposed 1,093,799 · Balance 0

F1: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F7: The Breakeven Warrants became exercisable upon the closing of the closing of the underwritten public offering on November 20, 2023. The Breakeven Warrants will expire on the seventh anniversary of the issuance date.

F4: The shares of Common Stock, Pre-Funded Warrants and Breakeven Warrants of the Issuer reported herein are owned directly by RedCo II Master Fund, L.P.

Filing footnotes · ownership attribution and instrument terms

F1: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F3: The securities of the Issuer reported herein are directly owned by certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), including RedCo II Master Fund, L.P. and Redmile Private Investments II, L.P. (the "Reporting Funds"), and may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of the Reporting Funds, Redmile and Mr. Green (collectively, the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such Reporting Person is a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4: The shares of Common Stock, Pre-Funded Warrants and Breakeven Warrants of the Issuer reported herein are owned directly by RedCo II Master Fund, L.P.

F5: The shares of Common Stock of the Issuer reported herein are owned directly by Redmile Private Investments II, L.P.

F6: The Pre-Funded Warrants are exercisable by the holder at any time until fully exercised at an exercise price of $0.0001 per share of the Issuer's common stock (the "Pre-Funded Warrant Share"), subject to a limitation on the right of the Issuer to issue the Pre-Funded Warrant Shares if and to the extent that such exercise would violate the rules or regulations of Nasdaq Stock Market LLC. The Pre-Funded Warrants have no expiration date.

F7: The Breakeven Warrants became exercisable upon the closing of the closing of the underwritten public offering on November 20, 2023. The Breakeven Warrants will expire on the seventh anniversary of the issuance date.

Beam Therapeutics Inc.

Report date February 10, 2020 · Filed February 11, 2020

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2020-02-11. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote1,161,458 Reported balance After 2020-02-10 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-02-10 · Conversion · Acquired 1,161,458 · Balance 1,161,458

F1: The Series B Redeemable Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-0.223 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series B Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2020-02-10 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2020-02-10 · Conversion · Disposed 5,208,333 · Balance 0

F1: The Series B Redeemable Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-0.223 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series B Redeemable Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-0.223 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Cabaletta Bio, Inc.

Report date October 29, 2019 · Filed October 29, 2019

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2019-10-29. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote696,378 Reported balance After 2019-10-29 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2019-10-29 · Conversion · Acquired 696,378 · Balance 696,378

F1: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-0.66667 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series B Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-10-29 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2019-10-29 · Conversion · Disposed 1,044,568 · Balance 0

F1: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-0.66667 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-0.66667 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Entrada Therapeutics, Inc.

Report date November 02, 2021 · Filed November 05, 2021

Jointly reported with Green Jeremy, Redmile Biopharma Investments III, L.P.

Section 16 reporting ended · disclosed 2021-11-05. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote954,420 Reported balance After 2021-11-02 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-11-02 · Conversion · Acquired 954,420 · Balance 954,420

F1: The Series B convertible preferred stock automatically converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering for no consideration. The Series B convertible preferred stock had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including Redmile Biopharma Investments III, L.P., and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Managing Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Managing Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee Footnote1,954,420 Reported balance After 2021-11-02 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2021-11-02 · Purchase · Acquired 1,000,000 · Balance 1,954,420

F3: Reflects number of shares owned as of November 2, 2021.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including Redmile Biopharma Investments III, L.P., and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Managing Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Managing Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series B Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2021-11-02 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2021-11-02 · Conversion · Disposed 954,420 · Balance 0

F1: The Series B convertible preferred stock automatically converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering for no consideration. The Series B convertible preferred stock had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including Redmile Biopharma Investments III, L.P., and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Managing Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Managing Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series B convertible preferred stock automatically converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering for no consideration. The Series B convertible preferred stock had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including Redmile Biopharma Investments III, L.P., and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Managing Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Managing Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3: Reflects number of shares owned as of November 2, 2021.

Gritstone bio, Inc.

Report date October 02, 2018 · Filed October 03, 2018

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2018-10-03. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote1,394,529 Last balance in matching sequence After 2018-10-02 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2018-10-02 · Conversion · Acquired 869,562 · Balance 869,562

F1: The Series A Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 2 · 2018-10-02 · Conversion · Acquired 371,607 · Balance 1,241,169

F3: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 3 · 2018-10-02 · Conversion · Acquired 153,360 · Balance 1,394,529

F4: The Series C Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series A Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2018-10-02 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2018-10-02 · Conversion · Disposed 869,562 · Balance 0

F1: The Series A Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series B Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2018-10-02 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2018-10-02 · Conversion · Disposed 371,607 · Balance 0

F3: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series C Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2018-10-02 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2018-10-02 · Conversion · Disposed 153,360 · Balance 0

F4: The Series C Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series A Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F4: The Series C Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

HOOKIPA Pharma Inc.

Report date April 23, 2019 · Filed April 24, 2019

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2019-04-24. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote999,322 Reported balance After 2019-04-23 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2019-04-23 · Conversion · Acquired 999,322 · Balance 999,322

F1: The Series D Redeemable Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-11.643 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series D Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-04-23 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2019-04-23 · Conversion · Disposed 85,830 · Balance 0

F1: The Series D Redeemable Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-11.643 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series D Redeemable Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-11.643 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

IGM Biosciences, Inc.

Report date August 14, 2025 · Filed August 15, 2025

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2025-08-15. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2025-08-14 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2025-08-14 · Disposition to issuer · Disposed 2,964,843 · Balance 0

F1: On August 14, 2025, pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 1, 2025, among the Issuer, Concentra Biosciences, LLC, a Delaware limited liability company ("Parent"), and Concentra Merger Sub V, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), Merger Sub completed a tender offer to purchase all outstanding shares of the Issuer's Common Stock and Non-Voting Common Stock ("Issuer Shares") in exchange for (a) a price per share of $1.247 in cash (the "Offer Price"), subject to applicable tax withholding and without interest, plus (b) one contingent value right ("CVR") per share subject to the terms and conditions of a Contingent Value Rights Agreement ("CVR Agreement"). The tender offer expired one minute following 11:59 p.m., Eastern Time, on August 13, 2025 (the "Offer Closing").

F5: The Common Stock, Non-Voting Common Stock, and Pre-Funded Warrants of the Issuer reported herein were directly owned by certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), and may have been deemed beneficially owned by Redmile as investment manager of the Redmile Funds.

F6: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile (collectively with Redmile, the "Reporting Persons"). The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any, and this Form 4 shall not be deemed an admission that either Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Non-Voting Common StockSEC Table II · derivative / convertible securityIndirectSee Footnotes0 Reported balance After 2025-08-14 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2025-08-14 · Disposition to issuer · Disposed 7,199,325 · Balance 0

F3: The Non-Voting Common Stock was convertible into shares of the Issuer's common stock at any time, in accordance with the terms of the Issuer's Amended and Restated Certificate of Incorporation at any time and from time to time at the holder's election on a 1-for-1 basis. The Non-Voting Common Stock had no expiration date.

F1: On August 14, 2025, pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 1, 2025, among the Issuer, Concentra Biosciences, LLC, a Delaware limited liability company ("Parent"), and Concentra Merger Sub V, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), Merger Sub completed a tender offer to purchase all outstanding shares of the Issuer's Common Stock and Non-Voting Common Stock ("Issuer Shares") in exchange for (a) a price per share of $1.247 in cash (the "Offer Price"), subject to applicable tax withholding and without interest, plus (b) one contingent value right ("CVR") per share subject to the terms and conditions of a Contingent Value Rights Agreement ("CVR Agreement"). The tender offer expired one minute following 11:59 p.m., Eastern Time, on August 13, 2025 (the "Offer Closing").

F5: The Common Stock, Non-Voting Common Stock, and Pre-Funded Warrants of the Issuer reported herein were directly owned by certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), and may have been deemed beneficially owned by Redmile as investment manager of the Redmile Funds.

F6: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile (collectively with Redmile, the "Reporting Persons"). The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any, and this Form 4 shall not be deemed an admission that either Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Pre-Funded Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.01IndirectSee Footnotes0 Reported balance After 2025-08-14 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2025-08-14 · Disposition to issuer · Disposed 667,666 · Balance 0

F2: On August 14, 2025, the Issuer completed its merger transaction with and into Merger Sub pursuant to the terms of the Merger Agreement, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). At the effective date and time of the Merger (the "Merger Closing"), each outstanding and unexercised pre-funded warrant to purchase shares of the Issuer's Common Stock (each, a "Pre-Funded Warrant") was cancelled and the holder received the right to a cash amount based on the Offer Price, subject to applicable tax withholding and without interest, less the exercise price per share underlying the Pre-Funded Warrant, plus one CVR per underlying share subject to the terms and conditions of a CVR Agreement.

F4: The Pre-Funded Warrants to purchase common stock of the Issuer have no expiration date.

F5: The Common Stock, Non-Voting Common Stock, and Pre-Funded Warrants of the Issuer reported herein were directly owned by certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), and may have been deemed beneficially owned by Redmile as investment manager of the Redmile Funds.

F6: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile (collectively with Redmile, the "Reporting Persons"). The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any, and this Form 4 shall not be deemed an admission that either Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On August 14, 2025, pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 1, 2025, among the Issuer, Concentra Biosciences, LLC, a Delaware limited liability company ("Parent"), and Concentra Merger Sub V, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), Merger Sub completed a tender offer to purchase all outstanding shares of the Issuer's Common Stock and Non-Voting Common Stock ("Issuer Shares") in exchange for (a) a price per share of $1.247 in cash (the "Offer Price"), subject to applicable tax withholding and without interest, plus (b) one contingent value right ("CVR") per share subject to the terms and conditions of a Contingent Value Rights Agreement ("CVR Agreement"). The tender offer expired one minute following 11:59 p.m., Eastern Time, on August 13, 2025 (the "Offer Closing").

F2: On August 14, 2025, the Issuer completed its merger transaction with and into Merger Sub pursuant to the terms of the Merger Agreement, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). At the effective date and time of the Merger (the "Merger Closing"), each outstanding and unexercised pre-funded warrant to purchase shares of the Issuer's Common Stock (each, a "Pre-Funded Warrant") was cancelled and the holder received the right to a cash amount based on the Offer Price, subject to applicable tax withholding and without interest, less the exercise price per share underlying the Pre-Funded Warrant, plus one CVR per underlying share subject to the terms and conditions of a CVR Agreement.

F3: The Non-Voting Common Stock was convertible into shares of the Issuer's common stock at any time, in accordance with the terms of the Issuer's Amended and Restated Certificate of Incorporation at any time and from time to time at the holder's election on a 1-for-1 basis. The Non-Voting Common Stock had no expiration date.

F4: The Pre-Funded Warrants to purchase common stock of the Issuer have no expiration date.

F5: The Common Stock, Non-Voting Common Stock, and Pre-Funded Warrants of the Issuer reported herein were directly owned by certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), and may have been deemed beneficially owned by Redmile as investment manager of the Redmile Funds.

F6: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile (collectively with Redmile, the "Reporting Persons"). The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any, and this Form 4 shall not be deemed an admission that either Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Invivyd, Inc.

Report date August 10, 2021 · Filed August 13, 2021

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2021-08-13. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote3,390,960 Last balance in matching sequence After 2021-08-10 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2021-08-10 · Conversion · Acquired 1,920,960 · Balance 1,920,960

F1: The Series C preferred stock (the "Series C Preferred") automatically converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering for no consideration. The Series C Preferred had no expiration date.

F2: The Series C Preferred are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and the reported securities may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 2 · 2021-08-10 · Purchase · Acquired 1,470,000 · Balance 3,390,960

F2: The Series C Preferred are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and the reported securities may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2021-08-10 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2021-08-10 · Conversion · Disposed 1,920,960 · Balance 0

F1: The Series C preferred stock (the "Series C Preferred") automatically converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering for no consideration. The Series C Preferred had no expiration date.

F2: The Series C Preferred are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and the reported securities may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series C preferred stock (the "Series C Preferred") automatically converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering for no consideration. The Series C Preferred had no expiration date.

F2: The Series C Preferred are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and the reported securities may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Kalaris Therapeutics, Inc.

Report date August 03, 2020 · Filed August 05, 2020

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2020-08-05. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote823,371 Reported balance After 2020-08-03 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-08-03 · Conversion · Acquired 823,371 · Balance 823,371

F1: The Series B Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-0.67104852 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2020-08-03 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2020-08-03 · Conversion · Disposed 1,226,993 · Balance 0

F1: The Series B Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-0.67104852 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series B Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-0.67104852 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Kymera Therapeutics, Inc.

Report date August 25, 2020 · Filed August 25, 2020

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2020-08-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote1,630,660 Reported balance After 2020-08-25 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-08-25 · Conversion · Acquired 1,630,660 · Balance 1,630,660

F1: The Series C Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-0.626998558 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series C Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2020-08-25 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2020-08-25 · Conversion · Disposed 2,600,740 · Balance 0

F1: The Series C Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-0.626998558 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series C Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-0.626998558 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Nurix Therapeutics, Inc.

Report date July 28, 2020 · Filed July 30, 2020

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2020-07-30. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote1,176,470 Reported balance After 2020-07-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-07-28 · Conversion · Acquired 1,176,470 · Balance 1,176,470

F1: The Series D Redeemable Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series D Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2020-07-28 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2020-07-28 · Conversion · Disposed 1,176,470 · Balance 0

F1: The Series D Redeemable Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series D Redeemable Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

PLIANT THERAPEUTICS, INC.

Report date June 05, 2020 · Filed June 09, 2020

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2020-06-09. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote1,910,657 Reported balance After 2020-06-05 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-06-05 · Conversion · Acquired 1,910,657 · Balance 1,910,657

F1: The Series C Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-0.1399 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2020-06-05 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2020-06-05 · Conversion · Disposed 13,661,202 · Balance 0

F1: The Series C Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-0.1399 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series C Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-0.1399 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

RayzeBio, Inc.

Report date September 19, 2023 · Filed September 22, 2023

Jointly reported with Green Jeremy, Redmile Biopharma Investments II, L.P.

Section 16 reporting ended · disclosed 2023-09-22. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote1,857,706 Last balance in matching sequence After 2023-09-19 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2023-09-19 · Conversion · Acquired 864,509 · Balance 864,509

F1: The shares of Series B preferred stock, Series C preferred stock and Series D preferred stock converted into shares of the Issuer's common stock automatically upon the closing of the Issuer's initial public offering for no consideration. None of the series of preferred stock had an expiration date.

F2: These securities are directly owned by Redmile Biopharma Investments II, L.P. (the "Fund") and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as investment manager of the Fund. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Managing Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Managing Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 2 · 2023-09-19 · Conversion · Acquired 494,687 · Balance 1,359,196

F1: The shares of Series B preferred stock, Series C preferred stock and Series D preferred stock converted into shares of the Issuer's common stock automatically upon the closing of the Issuer's initial public offering for no consideration. None of the series of preferred stock had an expiration date.

F2: These securities are directly owned by Redmile Biopharma Investments II, L.P. (the "Fund") and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as investment manager of the Fund. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Managing Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Managing Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 3 · 2023-09-19 · Conversion · Acquired 498,510 · Balance 1,857,706

F1: The shares of Series B preferred stock, Series C preferred stock and Series D preferred stock converted into shares of the Issuer's common stock automatically upon the closing of the Issuer's initial public offering for no consideration. None of the series of preferred stock had an expiration date.

F2: These securities are directly owned by Redmile Biopharma Investments II, L.P. (the "Fund") and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as investment manager of the Fund. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Managing Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Managing Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2023-09-19 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2023-09-19 · Conversion · Disposed 864,509 · Balance 0

F1: The shares of Series B preferred stock, Series C preferred stock and Series D preferred stock converted into shares of the Issuer's common stock automatically upon the closing of the Issuer's initial public offering for no consideration. None of the series of preferred stock had an expiration date.

F2: These securities are directly owned by Redmile Biopharma Investments II, L.P. (the "Fund") and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as investment manager of the Fund. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Managing Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Managing Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2023-09-19 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2023-09-19 · Conversion · Disposed 432,254 · Balance 0

F1: The shares of Series B preferred stock, Series C preferred stock and Series D preferred stock converted into shares of the Issuer's common stock automatically upon the closing of the Issuer's initial public offering for no consideration. None of the series of preferred stock had an expiration date.

F2: These securities are directly owned by Redmile Biopharma Investments II, L.P. (the "Fund") and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as investment manager of the Fund. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Managing Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Managing Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series D Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2023-09-19 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2023-09-19 · Conversion · Disposed 498,510 · Balance 0

F1: The shares of Series B preferred stock, Series C preferred stock and Series D preferred stock converted into shares of the Issuer's common stock automatically upon the closing of the Issuer's initial public offering for no consideration. None of the series of preferred stock had an expiration date.

F2: These securities are directly owned by Redmile Biopharma Investments II, L.P. (the "Fund") and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as investment manager of the Fund. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Managing Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Managing Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of Series B preferred stock, Series C preferred stock and Series D preferred stock converted into shares of the Issuer's common stock automatically upon the closing of the Issuer's initial public offering for no consideration. None of the series of preferred stock had an expiration date.

F2: These securities are directly owned by Redmile Biopharma Investments II, L.P. (the "Fund") and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as investment manager of the Fund. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Managing Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Managing Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Repare Therapeutics Inc.

Report date June 23, 2020 · Filed June 25, 2020

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2020-06-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common SharesSEC Table I · non-derivativeIndirectSee Footnote1,586,174 Reported balance After 2020-06-23 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-06-23 · Conversion · Acquired 1,586,174 · Balance 1,586,174

F1: The Class B Convertible Preferred Shares converted into shares of the Issuer's common shares immediately prior to the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Class B Convertible Preferred SharesSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2020-06-23 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2020-06-23 · Conversion · Disposed 1,586,174 · Balance 0

F1: The Class B Convertible Preferred Shares converted into shares of the Issuer's common shares immediately prior to the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Class B Convertible Preferred Shares converted into shares of the Issuer's common shares immediately prior to the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Replimune Group, Inc.

Report date July 24, 2018 · Filed July 25, 2018

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2018-07-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote779,655 Reported balance After 2018-07-24 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2018-07-24 · Conversion · Acquired 779,655 · Balance 779,655

F1: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.94688 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series B Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2018-07-24 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2018-07-24 · Conversion · Disposed 78,382 · Balance 0

F1: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.94688 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.94688 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles and separately managed accounts managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Science 37 Holdings, Inc.

Report date March 12, 2024 · Filed March 13, 2024

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2024-03-13. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2024-03-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2024-03-12 · Other · Disposed 1,017,203 · Balance 0

F1: The reported securities were disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 28, 2024, among the Issuer, eMed, LLC, a Delaware limited liability company ("Parent"), and Marlin Merger Sub Corporation, a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for all outstanding shares of the Issuer's common stock ("Common Stock") at a purchase price of $5.75 per share, without interest and subject to applicable withholding taxes (the "Offer Price"), which such tender offer expired on March 11, 2024. On March 12, 2024, after completion of the tender offer, Merger Sub merged with and into the Issuer, effective as of March 12, 2024 (such date and time of such merger, the "Effective Time"). These shares of Common Stock were tendered for purchase pursuant to the tender offer.

F2: Each restricted stock unit represents a contingent right to receive one share of the Common Stock. Pursuant to the Merger Agreement, at the Effective Time, each restricted stock unit that was outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive a cash payment (without interest and subject to any applicable tax withholding) equal to (A) the Offer Price, multiplied by (B) the number of shares of Common Stock subject to such restricted stock unit. This number includes 24,742 unvested restricted stock units.

F5: Certain of these securities were granted to Mr. Faulkner, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile and its affiliates, Mr. Faulkner held these securities as a nominee on behalf, and for the sole benefit, of Redmile and assigned all economic, pecuniary and voting rights in respect of the securities to Redmile. Mr. Faulkner has disclaimed beneficial ownership of the securities, and the filing of this Form 4 shall not be deemed an admission that Mr. Faulkner was the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F6: Other than the reported securities that were granted to Mr. Faulkner, the common stock of the Issuer reported herein was directly owned by the certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), and may have been deemed beneficially owned by Redmile as investment manager of the Redmile Funds. The reported securities may also have been deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (collectively, the "Reporting Persons") disclaimed beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons was a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $201.00IndirectSee Footnotes0 Reported balance After 2024-03-12 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2024-03-12 · Disposition to issuer · Disposed 2,068 · Balance 0

F1: The reported securities were disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 28, 2024, among the Issuer, eMed, LLC, a Delaware limited liability company ("Parent"), and Marlin Merger Sub Corporation, a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for all outstanding shares of the Issuer's common stock ("Common Stock") at a purchase price of $5.75 per share, without interest and subject to applicable withholding taxes (the "Offer Price"), which such tender offer expired on March 11, 2024. On March 12, 2024, after completion of the tender offer, Merger Sub merged with and into the Issuer, effective as of March 12, 2024 (such date and time of such merger, the "Effective Time"). These shares of Common Stock were tendered for purchase pursuant to the tender offer.

F3: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock that was outstanding and unexercised immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F5: Certain of these securities were granted to Mr. Faulkner, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile and its affiliates, Mr. Faulkner held these securities as a nominee on behalf, and for the sole benefit, of Redmile and assigned all economic, pecuniary and voting rights in respect of the securities to Redmile. Mr. Faulkner has disclaimed beneficial ownership of the securities, and the filing of this Form 4 shall not be deemed an admission that Mr. Faulkner was the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F6: Other than the reported securities that were granted to Mr. Faulkner, the common stock of the Issuer reported herein was directly owned by the certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), and may have been deemed beneficially owned by Redmile as investment manager of the Redmile Funds. The reported securities may also have been deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (collectively, the "Reporting Persons") disclaimed beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons was a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Earn-Out RightSEC Table II · derivative / convertible securityIndirectSee Footnotes0 Reported balance After 2024-03-12 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2024-03-12 · Disposition to issuer · Disposed 95,765 · Balance 0

F4: Pursuant to the Merger Agreement, at the Effective Time, all "Earn-Out Rights" (that is, all rights to receive the Issuer's Common Stock that were reserved for issuance as "Earn-Out Shares" pursuant to, and under the circumstances set forth in, Section 2.8 of the Agreement and Plan of Merger dated as of May 6, 2021 by and among the Issuer, LifeSci Acquisition II Corp. and LifeSci Acquisition II Merger Sub, Inc.) that were outstanding immediately prior to the Effective Time automatically were cancelled and ceased to exist at the Effective Time.

F1: The reported securities were disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 28, 2024, among the Issuer, eMed, LLC, a Delaware limited liability company ("Parent"), and Marlin Merger Sub Corporation, a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for all outstanding shares of the Issuer's common stock ("Common Stock") at a purchase price of $5.75 per share, without interest and subject to applicable withholding taxes (the "Offer Price"), which such tender offer expired on March 11, 2024. On March 12, 2024, after completion of the tender offer, Merger Sub merged with and into the Issuer, effective as of March 12, 2024 (such date and time of such merger, the "Effective Time"). These shares of Common Stock were tendered for purchase pursuant to the tender offer.

F6: Other than the reported securities that were granted to Mr. Faulkner, the common stock of the Issuer reported herein was directly owned by the certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), and may have been deemed beneficially owned by Redmile as investment manager of the Redmile Funds. The reported securities may also have been deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (collectively, the "Reporting Persons") disclaimed beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons was a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities were disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 28, 2024, among the Issuer, eMed, LLC, a Delaware limited liability company ("Parent"), and Marlin Merger Sub Corporation, a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for all outstanding shares of the Issuer's common stock ("Common Stock") at a purchase price of $5.75 per share, without interest and subject to applicable withholding taxes (the "Offer Price"), which such tender offer expired on March 11, 2024. On March 12, 2024, after completion of the tender offer, Merger Sub merged with and into the Issuer, effective as of March 12, 2024 (such date and time of such merger, the "Effective Time"). These shares of Common Stock were tendered for purchase pursuant to the tender offer.

F2: Each restricted stock unit represents a contingent right to receive one share of the Common Stock. Pursuant to the Merger Agreement, at the Effective Time, each restricted stock unit that was outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive a cash payment (without interest and subject to any applicable tax withholding) equal to (A) the Offer Price, multiplied by (B) the number of shares of Common Stock subject to such restricted stock unit. This number includes 24,742 unvested restricted stock units.

F3: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock that was outstanding and unexercised immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F4: Pursuant to the Merger Agreement, at the Effective Time, all "Earn-Out Rights" (that is, all rights to receive the Issuer's Common Stock that were reserved for issuance as "Earn-Out Shares" pursuant to, and under the circumstances set forth in, Section 2.8 of the Agreement and Plan of Merger dated as of May 6, 2021 by and among the Issuer, LifeSci Acquisition II Corp. and LifeSci Acquisition II Merger Sub, Inc.) that were outstanding immediately prior to the Effective Time automatically were cancelled and ceased to exist at the Effective Time.

F5: Certain of these securities were granted to Mr. Faulkner, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile and its affiliates, Mr. Faulkner held these securities as a nominee on behalf, and for the sole benefit, of Redmile and assigned all economic, pecuniary and voting rights in respect of the securities to Redmile. Mr. Faulkner has disclaimed beneficial ownership of the securities, and the filing of this Form 4 shall not be deemed an admission that Mr. Faulkner was the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F6: Other than the reported securities that were granted to Mr. Faulkner, the common stock of the Issuer reported herein was directly owned by the certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), and may have been deemed beneficially owned by Redmile as investment manager of the Redmile Funds. The reported securities may also have been deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (collectively, the "Reporting Persons") disclaimed beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons was a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Shattuck Labs, Inc.

Report date August 25, 2025 · Filed August 26, 2025

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2025-08-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Pre-Funded Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee Footnotes7,198,553 Reported balance After 2025-08-25 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2025-08-25 · Grant · Acquired 4,097,730 · Balance 7,198,553

F1: On August 25, 2025 (the "Closing Date"), pursuant to the terms of that certain securities purchase agreement, dated as of August 4, 2025 (the "Purchase Agreement") and following the satisfaction of certain material conditions set forth therein, the Issuer issued and sold to certain institutional investors in a private placement, including certain private investment vehicles managed by Redmile Group, LLC (the "Redmile Clients"), pre-funded warrants (the "Pre-Funded Warrants") to purchase shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"), accompanied by warrants (the "Common Warrants") to purchase an equal number of shares of Common Stock (or, in lieu thereof, Pre-Funded Warrants to purchase up to the same number of shares), at a combined purchase price for both securities of $0.8676.

F2: The Pre-Funded Warrants and Common Warrants are exercisable by the holder at any time on or after the Closing Date, subject to a 9.99% beneficial ownership blocker. The Pre-Funded Warrants do not have an expiration date. The Common Warrants will expire 30 days after a public announcement of the data from the Issuer's Phase 1 clinical trial for SL-325 in healthy volunteers and the design of its Phase 2 clinical trial.

F3: The reported securities are directly owned by the Redmile Clients, and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as the investment manager of the Redmile Clients.

F4: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Common Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $1.08IndirectSee Footnotes4,097,730 Reported balance After 2025-08-25 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2025-08-25 · Grant · Acquired 4,097,730 · Balance 4,097,730

F1: On August 25, 2025 (the "Closing Date"), pursuant to the terms of that certain securities purchase agreement, dated as of August 4, 2025 (the "Purchase Agreement") and following the satisfaction of certain material conditions set forth therein, the Issuer issued and sold to certain institutional investors in a private placement, including certain private investment vehicles managed by Redmile Group, LLC (the "Redmile Clients"), pre-funded warrants (the "Pre-Funded Warrants") to purchase shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"), accompanied by warrants (the "Common Warrants") to purchase an equal number of shares of Common Stock (or, in lieu thereof, Pre-Funded Warrants to purchase up to the same number of shares), at a combined purchase price for both securities of $0.8676.

F2: The Pre-Funded Warrants and Common Warrants are exercisable by the holder at any time on or after the Closing Date, subject to a 9.99% beneficial ownership blocker. The Pre-Funded Warrants do not have an expiration date. The Common Warrants will expire 30 days after a public announcement of the data from the Issuer's Phase 1 clinical trial for SL-325 in healthy volunteers and the design of its Phase 2 clinical trial.

F3: The reported securities are directly owned by the Redmile Clients, and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as the investment manager of the Redmile Clients.

F4: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On August 25, 2025 (the "Closing Date"), pursuant to the terms of that certain securities purchase agreement, dated as of August 4, 2025 (the "Purchase Agreement") and following the satisfaction of certain material conditions set forth therein, the Issuer issued and sold to certain institutional investors in a private placement, including certain private investment vehicles managed by Redmile Group, LLC (the "Redmile Clients"), pre-funded warrants (the "Pre-Funded Warrants") to purchase shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"), accompanied by warrants (the "Common Warrants") to purchase an equal number of shares of Common Stock (or, in lieu thereof, Pre-Funded Warrants to purchase up to the same number of shares), at a combined purchase price for both securities of $0.8676.

F2: The Pre-Funded Warrants and Common Warrants are exercisable by the holder at any time on or after the Closing Date, subject to a 9.99% beneficial ownership blocker. The Pre-Funded Warrants do not have an expiration date. The Common Warrants will expire 30 days after a public announcement of the data from the Issuer's Phase 1 clinical trial for SL-325 in healthy volunteers and the design of its Phase 2 clinical trial.

F3: The reported securities are directly owned by the Redmile Clients, and may be deemed beneficially owned by Redmile Group, LLC ("Redmile") as the investment manager of the Redmile Clients.

F4: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Stoke Therapeutics, Inc.

Report date June 21, 2019 · Filed June 24, 2019

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2019-06-24. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote671,808 Reported balance After 2019-06-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2019-06-21 · Conversion · Acquired 671,808 · Balance 671,808

F1: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series B Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-06-21 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2019-06-21 · Conversion · Disposed 671,808 · Balance 0

F1: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series B Convertible Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on a 1-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

TCR2 THERAPEUTICS INC.

Report date February 19, 2019 · Filed February 21, 2019

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2019-02-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee note807,256 Reported balance After 2019-02-19 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2019-02-19 · Conversion · Acquired 807,256 · Balance 807,256

F1: The Series B Redeemable Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 6.1938-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series B Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee note0 Reported balance After 2019-02-19 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2019-02-19 · Conversion · Disposed 5,000,000 · Balance 0

F1: The Series B Redeemable Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 6.1938-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series B Redeemable Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 6.1938-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

VAPOTHERM INC

Report date November 16, 2018 · Filed November 16, 2018

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2018-11-16. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectFootnote959,540 Last balance in matching sequence After 2018-11-16 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2018-11-16 · Conversion · Acquired 816,683 · Balance 816,683

F1: The Series D Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 14-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 2 · 2018-11-16 · Conversion · Acquired 142,857 · Balance 959,540

F3: The Series D-1 Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 12.3131-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series D Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectFootnote0 Reported balance After 2018-11-16 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2018-11-16 · Conversion · Disposed 11,433,597 · Balance 0

F1: The Series D Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 14-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series D-1 Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectFootnote0 Reported balance After 2018-11-16 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2018-11-16 · Conversion · Disposed 1,759,015 · Balance 0

F3: The Series D-1 Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 12.3131-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series D Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 14-for-1 basis and had no expiration date.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3: The Series D-1 Convertible Preferred Stock converted into shares of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering on a 12.3131-for-1 basis and had no expiration date.

Verve Therapeutics, Inc.

Report date June 21, 2021 · Filed June 23, 2021

Jointly reported with Green Jeremy

Section 16 reporting ended · disclosed 2021-06-23. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote886,530 Reported balance After 2021-06-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-06-21 · Conversion · Acquired 886,530 · Balance 886,530

F1: The Series B convertible preferred stock automatically converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering and had no expiration date. On June 11, 2021, the Issuer effected a one-for-9.2595 reverse stock split of its common stock, as a result of which each share of Series B convertible preferred stock became convertible into 0.108 shares of the Issuer's common stock.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectSee Footnote1,936,530 Reported balance After 2021-06-21 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2021-06-21 · Purchase · Acquired 1,050,000 · Balance 1,936,530

F3: Reflects number of shares owned as of June 21, 2021.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Series B Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2021-06-21 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2021-06-21 · Conversion · Disposed 8,208,832 · Balance 0

F1: The Series B convertible preferred stock automatically converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering and had no expiration date. On June 11, 2021, the Issuer effected a one-for-9.2595 reverse stock split of its common stock, as a result of which each share of Series B convertible preferred stock became convertible into 0.108 shares of the Issuer's common stock.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Series B convertible preferred stock automatically converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering and had no expiration date. On June 11, 2021, the Issuer effected a one-for-9.2595 reverse stock split of its common stock, as a result of which each share of Series B convertible preferred stock became convertible into 0.108 shares of the Issuer's common stock.

F2: These securities are directly owned by certain private investment vehicles managed by Redmile Group, LLC ("Redmile") and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3: Reflects number of shares owned as of June 21, 2021.

Transaction history

JSON API
Reset

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
December 11, 2024 Filed Dec 14, 2024 02:00 UTC ADC Therapeutics SA ADCT · Entity 6502 PurchaseCommon Shares, par value CHF 0.08 per share 50,000 $2.28 $114,000.00
Disclosure

SEC source: 0001104659-24-128575 · tm2431001-1_4seq1.xml · nonDerivative · entry 3

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 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: 13,095,712

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.165 to $2.4, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F4 · ownership.direct: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F5 · ownership.direct: These securities are directly owned by RedCo II and this transaction is a repetition of the same transaction disclosed in the row above to disclose this fund's direct ownership.

Read SEC document
December 11, 2024 Filed Dec 14, 2024 02:00 UTC ADC Therapeutics SA ADCT · Entity 6502 PurchaseCommon Shares, par value CHF 0.08 per share 50,000 $3.81 $190,500.00
Disclosure

SEC source: 0001104659-24-128575 · tm2431001-1_4seq1.xml · nonDerivative · entry 2

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 15,666,731

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.64 to $3.9, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: These reported securities are directly owned by private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. (collectively, the "Redmile Clients").

F4 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 11, 2024 Filed Dec 14, 2024 02:00 UTC ADC Therapeutics SA ADCT · Entity 6502 PurchaseCommon Shares, par value CHF 0.08 per share 50,000 $2.28 $114,000.00
Disclosure

SEC source: 0001104659-24-128575 · tm2431001-1_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 15,616,731

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.165 to $2.4, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: These reported securities are directly owned by private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. (collectively, the "Redmile Clients").

F4 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC ADC Therapeutics SA ADCT · Entity 6502 OtherPre-Funded Warrants · Derivative 26,656 $2.07 $55,177.92
Disclosure

SEC source: 0001104659-24-126422 · tm2430300-1_4seq1.xml · derivative · entry 7

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 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: 6,133,837

Underlying: Common Shares · 26,656 shares

Expires not disclosed

F6 · derivative.exercise_price: The exercise price of the Pre-Funded Warrants is CHF 0.08 per Pre-Funded Warrant Share. Based on the December 4, 2024 exchange rate of $1.13 USD to CHF 1.00, the exercise price of the Pre-Funded Warrants in US Dollars as of December 4, 2024 is approximately $0.09.

F1 · kind: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F1 · price: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F7 · derivative.expiration_date: The Pre-Funded Warrants are exercisable by the holder at any time after their original issuance until the tenth anniversary of their original issuance, subject to a 9.99% beneficial ownership blocker. At any time during the last 90 days of the term of the Pre-Funded Warrants, the holder thereof may exchange a Pre Funded Warrant with the Issuer for a new Pre-Funded Warrant to purchase the number of Pre-Funded Warrant Shares then remaining under such Pre-Funded Warrant, with a subsequent ten-year exercise period.

F4 · ownership.direct: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F5 · ownership.direct: These securities are directly owned by RedCo II and this transaction is a repetition of the same transaction disclosed in the row immediately above to disclose this fund's direct ownership.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC ADC Therapeutics SA ADCT · Entity 6502 OtherPre-Funded Warrants · Derivative 26,656 $2.07 $55,177.92
Disclosure

SEC source: 0001104659-24-126422 · tm2430300-1_4seq1.xml · derivative · entry 6

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 8,163,265

Underlying: Common Shares · 26,656 shares

Expires not disclosed

F6 · derivative.exercise_price: The exercise price of the Pre-Funded Warrants is CHF 0.08 per Pre-Funded Warrant Share. Based on the December 4, 2024 exchange rate of $1.13 USD to CHF 1.00, the exercise price of the Pre-Funded Warrants in US Dollars as of December 4, 2024 is approximately $0.09.

F1 · kind: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F1 · price: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F7 · derivative.expiration_date: The Pre-Funded Warrants are exercisable by the holder at any time after their original issuance until the tenth anniversary of their original issuance, subject to a 9.99% beneficial ownership blocker. At any time during the last 90 days of the term of the Pre-Funded Warrants, the holder thereof may exchange a Pre Funded Warrant with the Issuer for a new Pre-Funded Warrant to purchase the number of Pre-Funded Warrant Shares then remaining under such Pre-Funded Warrant, with a subsequent ten-year exercise period.

F3 · ownership.nature: These reported securities are directly owned by the Redmile Clients.

F4 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC ADC Therapeutics SA ADCT · Entity 6502 OtherPre-Funded Warrants · Derivative 26,656 $2.07 $55,177.92
Disclosure

SEC source: 0001104659-24-126422 · tm2430300-1_4seq1.xml · derivative · entry 5

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 8,136,609

Underlying: Common Shares · 26,656 shares

Expires not disclosed

F6 · derivative.exercise_price: The exercise price of the Pre-Funded Warrants is CHF 0.08 per Pre-Funded Warrant Share. Based on the December 4, 2024 exchange rate of $1.13 USD to CHF 1.00, the exercise price of the Pre-Funded Warrants in US Dollars as of December 4, 2024 is approximately $0.09.

F1 · kind: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F1 · price: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F7 · derivative.expiration_date: The Pre-Funded Warrants are exercisable by the holder at any time after their original issuance until the tenth anniversary of their original issuance, subject to a 9.99% beneficial ownership blocker. At any time during the last 90 days of the term of the Pre-Funded Warrants, the holder thereof may exchange a Pre Funded Warrant with the Issuer for a new Pre-Funded Warrant to purchase the number of Pre-Funded Warrant Shares then remaining under such Pre-Funded Warrant, with a subsequent ten-year exercise period.

F3 · ownership.nature: These reported securities are directly owned by the Redmile Clients.

F4 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC ADC Therapeutics SA ADCT · Entity 6502 OtherCommon Shares, par value CHF 0.08 per share 50,672 $2.07 $104,891.04
Disclosure

SEC source: 0001104659-24-126422 · tm2430300-1_4seq1.xml · nonDerivative · entry 4

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 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: 13,045,712

F1 · kind: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F4 · ownership.direct: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F5 · ownership.direct: These securities are directly owned by RedCo II and this transaction is a repetition of the same transaction disclosed in the row immediately above to disclose this fund's direct ownership.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC ADC Therapeutics SA ADCT · Entity 6502 OtherCommon Shares, par value CHF 0.08 per share 50,672 $2.07 $104,891.04
Disclosure

SEC source: 0001104659-24-126422 · tm2430300-1_4seq1.xml · nonDerivative · entry 3

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 15,566,731

F1 · kind: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F3 · ownership.nature: These reported securities are directly owned by the Redmile Clients.

F4 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC ADC Therapeutics SA ADCT · Entity 6502 OtherCommon Shares, par value CHF 0.08 per share 50,672 $2.07 $104,891.04
Disclosure

SEC source: 0001104659-24-126422 · tm2430300-1_4seq1.xml · nonDerivative · entry 2

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 15,516,059

F1 · kind: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F3 · ownership.nature: These reported securities are directly owned by the Redmile Clients.

F4 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC ADC Therapeutics SA ADCT · Entity 6502 SaleCommon Shares, par value CHF 0.08 per share 25,352 $2.07 $52,478.64
Disclosure

SEC source: 0001104659-24-126422 · tm2430300-1_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 15,566,731

F1 · kind: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F2 · balance_after: Since the last Form 4 filing by Redmile and Mr. Green, Redmile has ceased serving as the investment adviser to a sub-advised account that held 77,134 shares of the Issuer's Common Shares (such shares, the "Account Shares") and therefore no longer has voting or dispositive power with respect to such shares. Accordingly, the amount of shares beneficially owned by Redmile and Mr. Green as disclosed herein does not include the Account Shares and each of Redmile and Mr. Green disclaims beneficial ownership of the Account Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.nature: These reported securities are directly owned by the Redmile Clients.

F4 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC Shattuck Labs, Inc. STTK · Entity 5224 OtherCommon Stock, par value $0.0001 per share 1,026,888 $1.25 $1,283,610.00
Disclosure

SEC source: 0001104659-24-126421 · tm2430300-2_4seq1.xml · nonDerivative · entry 4

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 5,539,724

F1 · kind: On December 4, 2024, certain private investment vehicles (the "Redmile Clients") managed by Redmile Group, LLC ("Redmile") engaged in cross trades with respect to 1,026,888 shares of Common Stock. Certain other Redmile Clients purchased and sold shares of Common Stock concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $1.25, and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades and other transactions resulted in no change in either of their aggregate beneficial ownership.

F3 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC Shattuck Labs, Inc. STTK · Entity 5224 OtherCommon Stock, par value $0.0001 per share 1,026,888 $1.25 $1,283,610.00
Disclosure

SEC source: 0001104659-24-126421 · tm2430300-2_4seq1.xml · nonDerivative · entry 3

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 4,512,836

F1 · kind: On December 4, 2024, certain private investment vehicles (the "Redmile Clients") managed by Redmile Group, LLC ("Redmile") engaged in cross trades with respect to 1,026,888 shares of Common Stock. Certain other Redmile Clients purchased and sold shares of Common Stock concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $1.25, and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades and other transactions resulted in no change in either of their aggregate beneficial ownership.

F3 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC Shattuck Labs, Inc. STTK · Entity 5224 PurchaseCommon Stock, par value $0.0001 per share 133,371 $1.25 $166,713.75
Disclosure

SEC source: 0001104659-24-126421 · tm2430300-2_4seq1.xml · nonDerivative · entry 2

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 5,539,724

F1 · kind: On December 4, 2024, certain private investment vehicles (the "Redmile Clients") managed by Redmile Group, LLC ("Redmile") engaged in cross trades with respect to 1,026,888 shares of Common Stock. Certain other Redmile Clients purchased and sold shares of Common Stock concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $1.25, and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades and other transactions resulted in no change in either of their aggregate beneficial ownership.

F3 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC Shattuck Labs, Inc. STTK · Entity 5224 SaleCommon Stock, par value $0.0001 per share 133,371 $1.25 $166,713.75
Disclosure

SEC source: 0001104659-24-126421 · tm2430300-2_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 5,406,353

F1 · kind: On December 4, 2024, certain private investment vehicles (the "Redmile Clients") managed by Redmile Group, LLC ("Redmile") engaged in cross trades with respect to 1,026,888 shares of Common Stock. Certain other Redmile Clients purchased and sold shares of Common Stock concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $1.25, and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades and other transactions resulted in no change in either of their aggregate beneficial ownership.

F2 · balance_after: Since the last Form 4 filing by Redmile and Mr. Green, Redmile has ceased serving as the investment adviser to a sub-advised account that held 75,765 shares of the Issuer's Common Shares (such shares, the "Account Shares") and therefore no longer has voting or dispositive power with respect to such shares. Accordingly, the amount of shares beneficially owned by Redmile and Mr. Green as disclosed herein does not include the Account Shares and each of Redmile and Mr. Green disclaims beneficial ownership of the Account Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
October 02, 2024 Filed Oct 4, 2024 21:01 UTC Augmedix, Inc. AUGX · Entity 86996 Disposition to issuerBreakeven Warrants · Derivative 1,093,799 Not disclosed Strike: $1.75 Not disclosed
Disclosure

SEC source: 0001104659-24-106315 · tm2425580-3_4seq1.xml · derivative · entry 7

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · Director · 10% owner

Redmile Private Investments II, L.P. · CIK 0001629493 · Director · 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: 0

Underlying: Common Stock · 1,093,799 shares

Expires not disclosed

F1 · shares: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2 · shares: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F1 · price: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2 · price: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F7 · derivative.exercise_date: The Breakeven Warrants became exercisable upon the closing of the closing of the underwritten public offering on November 20, 2023. The Breakeven Warrants will expire on the seventh anniversary of the issuance date.

F7 · derivative.expiration_date: The Breakeven Warrants became exercisable upon the closing of the closing of the underwritten public offering on November 20, 2023. The Breakeven Warrants will expire on the seventh anniversary of the issuance date.

F4 · ownership.direct: The shares of Common Stock, Pre-Funded Warrants and Breakeven Warrants of the Issuer reported herein are owned directly by RedCo II Master Fund, L.P.

Read SEC document
October 02, 2024 Filed Oct 4, 2024 21:01 UTC Augmedix, Inc. AUGX · Entity 86996 Disposition to issuerBreakeven Warrants · Derivative 1,093,799 Not disclosed Strike: $1.75 Not disclosed
Disclosure

SEC source: 0001104659-24-106315 · tm2425580-3_4seq1.xml · derivative · entry 6

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · Director · 10% owner

Redmile Private Investments II, L.P. · CIK 0001629493 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,093,799 shares

Expires not disclosed

F1 · shares: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2 · shares: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F1 · price: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2 · price: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F7 · derivative.exercise_date: The Breakeven Warrants became exercisable upon the closing of the closing of the underwritten public offering on November 20, 2023. The Breakeven Warrants will expire on the seventh anniversary of the issuance date.

F7 · derivative.expiration_date: The Breakeven Warrants became exercisable upon the closing of the closing of the underwritten public offering on November 20, 2023. The Breakeven Warrants will expire on the seventh anniversary of the issuance date.

F3 · ownership.nature: The securities of the Issuer reported herein are directly owned by certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), including RedCo II Master Fund, L.P. and Redmile Private Investments II, L.P. (the "Reporting Funds"), and may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of the Reporting Funds, Redmile and Mr. Green (collectively, the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such Reporting Person is a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
October 02, 2024 Filed Oct 4, 2024 21:01 UTC Augmedix, Inc. AUGX · Entity 86996 Disposition to issuerPre-Funded Warrants to Purchase Common Stock · Derivative 3,125,195 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001104659-24-106315 · tm2425580-3_4seq1.xml · derivative · entry 5

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · Director · 10% owner

Redmile Private Investments II, L.P. · CIK 0001629493 · Director · 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: 0

Underlying: Common Stock · 3,125,195 shares

Expires not disclosed

F1 · shares: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2 · shares: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F1 · price: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2 · price: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F6 · derivative.exercise_date: The Pre-Funded Warrants are exercisable by the holder at any time until fully exercised at an exercise price of $0.0001 per share of the Issuer's common stock (the "Pre-Funded Warrant Share"), subject to a limitation on the right of the Issuer to issue the Pre-Funded Warrant Shares if and to the extent that such exercise would violate the rules or regulations of Nasdaq Stock Market LLC. The Pre-Funded Warrants have no expiration date.

F6 · derivative.expiration_date: The Pre-Funded Warrants are exercisable by the holder at any time until fully exercised at an exercise price of $0.0001 per share of the Issuer's common stock (the "Pre-Funded Warrant Share"), subject to a limitation on the right of the Issuer to issue the Pre-Funded Warrant Shares if and to the extent that such exercise would violate the rules or regulations of Nasdaq Stock Market LLC. The Pre-Funded Warrants have no expiration date.

F4 · ownership.direct: The shares of Common Stock, Pre-Funded Warrants and Breakeven Warrants of the Issuer reported herein are owned directly by RedCo II Master Fund, L.P.

Read SEC document
October 02, 2024 Filed Oct 4, 2024 21:01 UTC Augmedix, Inc. AUGX · Entity 86996 Disposition to issuerPre-Funded Warrants to Purchase Common Stock · Derivative 3,125,195 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001104659-24-106315 · tm2425580-3_4seq1.xml · derivative · entry 4

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · Director · 10% owner

Redmile Private Investments II, L.P. · CIK 0001629493 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 3,125,195 shares

Expires not disclosed

F1 · shares: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2 · shares: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F1 · price: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2 · price: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F6 · derivative.exercise_date: The Pre-Funded Warrants are exercisable by the holder at any time until fully exercised at an exercise price of $0.0001 per share of the Issuer's common stock (the "Pre-Funded Warrant Share"), subject to a limitation on the right of the Issuer to issue the Pre-Funded Warrant Shares if and to the extent that such exercise would violate the rules or regulations of Nasdaq Stock Market LLC. The Pre-Funded Warrants have no expiration date.

F6 · derivative.expiration_date: The Pre-Funded Warrants are exercisable by the holder at any time until fully exercised at an exercise price of $0.0001 per share of the Issuer's common stock (the "Pre-Funded Warrant Share"), subject to a limitation on the right of the Issuer to issue the Pre-Funded Warrant Shares if and to the extent that such exercise would violate the rules or regulations of Nasdaq Stock Market LLC. The Pre-Funded Warrants have no expiration date.

F3 · ownership.nature: The securities of the Issuer reported herein are directly owned by certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), including RedCo II Master Fund, L.P. and Redmile Private Investments II, L.P. (the "Reporting Funds"), and may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of the Reporting Funds, Redmile and Mr. Green (collectively, the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such Reporting Person is a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
October 02, 2024 Filed Oct 4, 2024 21:01 UTC Augmedix, Inc. AUGX · Entity 86996 Disposition to issuerCommon Stock 6,218,238 $2.35 $14,612,859.30
Disclosure

SEC source: 0001104659-24-106315 · tm2425580-3_4seq1.xml · nonDerivative · entry 3

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · Director · 10% owner

Redmile Private Investments II, L.P. · CIK 0001629493 · Director · 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: 0

F1 · shares: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2 · shares: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F5 · ownership.direct: The shares of Common Stock of the Issuer reported herein are owned directly by Redmile Private Investments II, L.P.

Read SEC document
October 02, 2024 Filed Oct 4, 2024 21:01 UTC Augmedix, Inc. AUGX · Entity 86996 Disposition to issuerCommon Stock 9,446,146 $2.35 $22,198,443.10
Disclosure

SEC source: 0001104659-24-106315 · tm2425580-3_4seq1.xml · nonDerivative · entry 2

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · Director · 10% owner

Redmile Private Investments II, L.P. · CIK 0001629493 · Director · 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: 0

F1 · shares: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2 · shares: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F4 · ownership.direct: The shares of Common Stock, Pre-Funded Warrants and Breakeven Warrants of the Issuer reported herein are owned directly by RedCo II Master Fund, L.P.

Read SEC document
October 02, 2024 Filed Oct 4, 2024 21:01 UTC Augmedix, Inc. AUGX · Entity 86996 Disposition to issuerCommon Stock 16,421,788 $2.35 $38,591,201.80
Disclosure

SEC source: 0001104659-24-106315 · tm2425580-3_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · Director · 10% owner

Redmile Private Investments II, L.P. · CIK 0001629493 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · shares: On October 2, 2024, the Issuer completed its previously announced merger transaction with Commure, Inc. ("Parent") and Anderson Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to the Agreement and Plan of Merger (the "Merger Agreement"). Under the terms of the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). On the effective date and time of the Merger, all of the outstanding shares of the Issuer's Common Stock, the outstanding restricted stock units that were vested at the effective time of the Merger, the outstanding and unexercised warrants to purchase shares of the Issuer's Common Stock that provided for their deemed exercise as a result of the Merger, and the outstanding and unexercised options to purchase the Issuer's Common Stock or stock appreciation rights that were vested at the effective time of the Merger,

F2 · shares: (cont'd) in each case immediately prior to the effective time of the Merger, including the Common Stock and warrants owned by the Redmile Funds (as defined below) and the Common Stock owned by Redmile Group, LLC ("Redmile"), were cancelled and converted into the right to receive cash based on a purchase price of $2.35 per share in accordance with the Merger Agreement.

F3 · ownership.nature: The securities of the Issuer reported herein are directly owned by certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), including RedCo II Master Fund, L.P. and Redmile Private Investments II, L.P. (the "Reporting Funds"), and may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of the Reporting Funds, Redmile and Mr. Green (collectively, the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such Reporting Person is a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
September 30, 2024 Filed Oct 2, 2024 20:16 UTC IGM Biosciences, Inc. IGMS · Entity 76422 GrantCommon Stock 1,734 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-105559 · tm2425347-2_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 3,081,800

F1 · shares: These securities are fully vested restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The amount reflects payment to Mr. Michael Lee of a quarterly retainer in common stock pursuant to the Issuer's Outside Director Compensation Policy.

F2 · ownership.nature: These securities were granted to Mr. Lee, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile, Mr. Lee holds these securities as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the securities to Redmile. Mr. Lee disclaims beneficial ownership of the securities, and the filing of this Form 4 shall not be deemed an admission that Mr. Lee is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.nature: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile (collectively with Redmile, the "Reporting Persons"). The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any, and this Form 4 shall not be deemed an admission that either Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
July 01, 2024 Filed Jul 4, 2024 00:00 UTC ADC Therapeutics SA ADCT · Entity 6502 PurchaseCommon Shares, par value CHF 0.08 per share 400,000 $2.81 $1,124,000.00
Disclosure

SEC source: 0001104659-24-077865 · tm2418671-3_4seq1.xml · nonDerivative · entry 2

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 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: 12,995,040

F2 · ownership.direct: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.direct: These securities are directly owned by RedCo II and this transaction is a repetition of the same transaction disclosed above in the first row to disclose this fund's direct ownership.

Read SEC document
July 01, 2024 Filed Jul 4, 2024 00:00 UTC ADC Therapeutics SA ADCT · Entity 6502 PurchaseCommon Shares, par value CHF 0.08 per share 400,000 $2.81 $1,124,000.00
Disclosure

SEC source: 0001104659-24-077865 · tm2418671-3_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 15,669,217

F1 · ownership.nature: These securities are directly owned by certain private investment vehicles and sub-advised accounts managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles and sub-advised accounts managed by Redmile, the "Redmile Clients"). Redmile may be deemed to beneficially own the reported securities as investment manager of the Redmile Clients.

F2 · ownership.nature: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 28, 2024 Filed Jul 2, 2024 21:30 UTC IGM Biosciences, Inc. IGMS · Entity 76422 GrantCommon Stock 1,734 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-077493 · tm2418671-2_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 3,080,066

F1 · shares: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The amount reflects payment to Mr. Michael Lee of a quarterly retainer in common stock pursuant to the Issuer's Outside Director Compensation Policy.

F2 · ownership.nature: These securities were granted to Mr. Lee, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile, Mr. Lee holds these securities as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the securities to Redmile. Mr. Lee disclaims beneficial ownership of the securities, and the filing of this Form 4 shall not be deemed an admission that Mr. Lee is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.nature: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile (collectively with Redmile, the "Reporting Persons"). The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that either Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 21, 2024 Filed Jun 21, 2024 23:22 UTC Shattuck Labs, Inc. STTK · Entity 5224 GrantStock Option (Right to Buy) · Derivative 27,700 $0.00 Strike: $4.37 $0.00
Disclosure

SEC source: 0001104659-24-074032 · tm2417794-1_4seq1.xml · derivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 27,700

Underlying: Common Stock · 27,700 shares

Expires 2034-06-21

F1 · derivative.exercise_date: This option represents a right to purchase a total of 27,700 shares of the Issuer's common stock, which will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) immediately prior to the next annual meeting of the Issuer's shareholders, subject to Mr. Michael Lee's continued service to the Issuer through such date.

F2 · ownership.nature: The stock option was granted to Mr. Lee, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile, Mr. Lee holds this stock option as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the stock option to Redmile. Mr. Lee disclaims beneficial ownership of the stock option, and the filing of this Form 4 shall not be deemed an admission that Mr. Lee is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.nature: The stock option may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the stock option except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 14, 2024 Filed Jun 19, 2024 01:30 UTC Augmedix, Inc. AUGX · Entity 86996 GrantCommon Stock 12,879 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-073005 · tm2417533-1_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 16,421,788

F1 · shares: On June 14, 2024 (the "Grant Date"), at the election of Mr. Robert Faulkner, the reported shares of the Common Stock were issued in lieu of cash compensation that Mr. Faulkner is entitled to receive for his services as a member of the Issuer's Board of Directors for Q2 2024 based on the closing price of the Common Stock on the Grant Date. The reported shares are fully vested and unrestricted, subject to the terms and conditions set forth in the Issuer's 2020 Equity Incentive Plan.

F2 · ownership.nature: These securities were granted to Mr. Faulkner, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile and its affiliates, Mr. Faulkner holds these securities as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the securities to Redmile. Mr. Faulkner disclaims beneficial ownership of the securities, and the filing of this Form 4 shall not be deemed an admission that Mr. Faulkner is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.nature: Other than the reported securities, the common stock of the Issuer reported herein are directly owned by the certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), and may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (collectively, the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Reporting Persons are a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 12, 2024 Filed Jun 14, 2024 23:47 UTC Absci Corp ABSI · Entity 4685 GrantStock Option (Right to Buy) · Derivative 36,274 $0.00 Strike: $4.96 $0.00
Disclosure

SEC source: 0001104659-24-071871 · tm2417342-1_4seq1.xml · derivative · entry 2

Redmile Group, LLC · CIK 0001425738 · Director

Green Jeremy · CIK 0001650527 · Director

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 36,274

Underlying: Common Stock · 36,274 shares

Expires 2034-06-11

F2 · derivative.exercise_date: On June 12, 2024, Mr. Nagpal received a grant of options to purchase 36,274 shares of the Issuer's Common Stock. Pursuant to the Issuer's amended Non-Employee Director Compensation Policy, the option award will vest in full on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the Issuer's next annual meeting of stockholders, subject to Mr. Nagpal's continuous service to the Issuer through such date.

F3 · ownership.nature: The restricted stock units and stock option (the "reported securities") were granted to Mr. Nagpal, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile, Mr. Nagpal holds the reported securities as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the reported securities to Redmile. Mr. Nagpal disclaims beneficial ownership of the reported securities, and the filing of this Form 4 shall not be deemed an admission that Mr. Nagpal is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4 · ownership.nature: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 12, 2024 Filed Jun 14, 2024 23:47 UTC Absci Corp ABSI · Entity 4685 GrantCommon Stock 8,820 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-071871 · tm2417342-1_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director

Green Jeremy · CIK 0001650527 · Director

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 8,262,136

F1 · shares: On June 12, 2024, Mr. Amrit Nagpal received 8,820 restricted stock units ("RSUs") issued under the Issuer's 2021 Stock Option and Incentive Plan. Each RSU represents the contingent right to receive one share of the Issuer's common stock, $0.0001 par value (the "Common Stock"). The RSUs shall vest and be settled in full on the earlier of (i) the first anniversary of the date of grant or (ii) the date of the Issuer's next annual meeting of stockholders, subject to Mr. Nagpal's continuous service to the Issuer through such date.

F3 · ownership.nature: The restricted stock units and stock option (the "reported securities") were granted to Mr. Nagpal, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile, Mr. Nagpal holds the reported securities as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the reported securities to Redmile. Mr. Nagpal disclaims beneficial ownership of the reported securities, and the filing of this Form 4 shall not be deemed an admission that Mr. Nagpal is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4 · ownership.nature: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 07, 2024 Filed Jun 11, 2024 22:19 UTC FATE THERAPEUTICS INC FATE · Entity 5968 GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC source: 0001104659-24-070506 · tm2416874-1_4seq1.xml · derivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-06-07

F1 · derivative.exercise_date: The stock option will vest in full and become exercisable upon the earlier of (i) June 7, 2025 or (ii) the date of the Issuer's 2025 Annual Meeting of Stockholders, subject to Michael Lee's continued service on the board of directors of the Issuer through the applicable vesting date.

F2 · ownership.nature: The stock option award was granted to Mr. Lee, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the board of directors of the Issuer. Pursuant to the policies of Redmile, Mr. Lee holds this equity award as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the equity award to Redmile. Mr. Lee disclaims beneficial ownership of the equity award, and the filing of this Form 4 shall not be deemed an admission that Mr. Lee is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.nature: The stock option award may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the equity award except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4 · ownership.nature: Mr. Lee, a member of the board of directors of the Issuer and a managing director of Redmile, was elected to the board of the Issuer as a representative of Redmile and its affiliates. As a result, the Reporting Persons are directors by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

Read SEC document
May 08, 2024 Filed May 10, 2024 20:01 UTC ADC Therapeutics SA ADCT · Entity 6502 PurchasePre-Funded Warrants · Derivative 8,163,265 $4.81 $39,281,631.18
Disclosure

SEC source: 0001104659-24-059881 · tm2414067-1_4seq1.xml · derivative · entry 2

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 8,163,265

Underlying: Common Shares · 8,163,265 shares

Expires not disclosed

F1 · security: On May 8, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), acquired, in an underwritten public offering, pre-funded warrants (the "Pre-Funded Warrants") to purchase Common Shares of the Issuer (the "Pre-Funded Warrant Shares") at a purchase price per Pre-Funded Warrant equal to $4.812.

F2 · derivative.exercise_price: The exercise price of the Pre-Funded Warrants is CHF 0.08 per Pre-Funded Warrant Share. Based on the May 8, 2024 exchange rate of $1.1013 USD to CHF 1.00, the exercise price of the Pre-Funded Warrants in US Dollars as of May 8, 2024 is approximately $0.088.

F3 · derivative.expiration_date: The Pre-Funded Warrants are exercisable by the holder at any time after their original issuance until the tenth anniversary of their original issuance, subject to a 9.99% beneficial ownership blocker. At any time during the last 90 days of the term of the Pre-Funded Warrants, the holder thereof may exchange a Pre Funded Warrant with the Issuer for a new Pre Funded Warrant to purchase the number of Pre-Funded Warrant Shares then remaining under such Pre-Funded Warrant, with a subsequent ten-year exercise period.

F5 · ownership.nature: The securities reported herein are directly owned by the Redmile Clients, including RedCo II.

F6 · ownership.nature: The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Clients and by Jeremy Green as the managing principal of Redmile. Each of Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that the Reporting Persons are the beneficial owners of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
May 08, 2024 Filed May 10, 2024 20:01 UTC ADC Therapeutics SA ADCT · Entity 6502 PurchasePre-Funded Warrants · Derivative 6,107,181 $4.81 $29,387,754.97
Disclosure

SEC source: 0001104659-24-059881 · tm2414067-1_4seq1.xml · derivative · entry 1

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 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: 6,107,181

Underlying: Common Shares · 6,107,181 shares

Expires not disclosed

F1 · security: On May 8, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), acquired, in an underwritten public offering, pre-funded warrants (the "Pre-Funded Warrants") to purchase Common Shares of the Issuer (the "Pre-Funded Warrant Shares") at a purchase price per Pre-Funded Warrant equal to $4.812.

F2 · derivative.exercise_price: The exercise price of the Pre-Funded Warrants is CHF 0.08 per Pre-Funded Warrant Share. Based on the May 8, 2024 exchange rate of $1.1013 USD to CHF 1.00, the exercise price of the Pre-Funded Warrants in US Dollars as of May 8, 2024 is approximately $0.088.

F3 · derivative.expiration_date: The Pre-Funded Warrants are exercisable by the holder at any time after their original issuance until the tenth anniversary of their original issuance, subject to a 9.99% beneficial ownership blocker. At any time during the last 90 days of the term of the Pre-Funded Warrants, the holder thereof may exchange a Pre Funded Warrant with the Issuer for a new Pre Funded Warrant to purchase the number of Pre-Funded Warrant Shares then remaining under such Pre-Funded Warrant, with a subsequent ten-year exercise period.

F4 · ownership.direct: These securities are directly owned by RedCo II.

F6 · ownership.direct: The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Clients and by Jeremy Green as the managing principal of Redmile. Each of Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that the Reporting Persons are the beneficial owners of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
March 29, 2024 Filed Apr 1, 2024 21:30 UTC IGM Biosciences, Inc. IGMS · Entity 76422 GrantCommon Stock 1,734 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-042085 · tm2410246-1_4seq1.xml · nonDerivative · entry 2

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 3,078,332

F3 · shares: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The amount reflects payment to Mr. Michael Lee of a quarterly retainer in common stock pursuant to the Issuer's Outside Director Compensation Policy.

F4 · ownership.nature: These securities were granted to Mr. Lee, a managing director of Redmile, in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile, Mr. Lee holds these securities as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the securities to Redmile. Mr. Lee disclaims beneficial ownership of the securities, and the filing of this Form 4 shall not be deemed an admission that Mr. Lee is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F5 · ownership.nature: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile (collectively with Redmile, the "Reporting Persons"). The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that either Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
March 28, 2024 Filed Apr 1, 2024 21:30 UTC IGM Biosciences, Inc. IGMS · Entity 76422 OtherCommon Stock 12,464 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-042085 · tm2410246-1_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 3,076,598

F1 · kind: On March 28, 2024, one of the private investment vehicles managed by Redmile Group, LLC ("Redmile") made a pro rata in kind distribution of the Issuer's common stock, $0.01 par value per share (the "Common Stock"), directly held by that private investment vehicle for no consideration. As a result, Redmile no longer has voting or dispositive power with respect to the 12,464 shares of the Issuer's Common Stock held by such private investment vehicle.

F2 · ownership.nature: The reported securities are directly held by certain private investment vehicles managed by Redmile (the "Redmile Funds"). Redmile may be deemed to beneficially own the reported securities as investment manager of the Redmile Funds.

F5 · ownership.nature: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile (collectively with Redmile, the "Reporting Persons"). The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that either Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
March 28, 2024 Filed Apr 2, 2024 01:32 UTC Shattuck Labs, Inc. STTK · Entity 5224 OtherCommon Stock 4,425 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-042087 · tm2410246-3_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 5,615,489

F1 · kind: On March 28, 2024, one of the private investment vehicles managed by Redmile Group, LLC ("Redmile") made a pro rata in kind distribution of the Issuer's common stock, $0.0001 par value per share (the "Common Stock"), directly held by that private investment vehicle for no consideration. As a result, Redmile no longer has voting or dispositive power with respect to the 4,425 shares of the Issuer's Common Stock held by such private investment vehicle.

F2 · ownership.nature: The reported securities are directly held by certain private investment vehicles managed by Redmile (the "Redmile Funds"). Redmile may be deemed to beneficially own the reported securities as investment manager of the Redmile Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile (collectively with Redmile, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein. This report shall not be deemed an admission that the Reporting Persons are a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
March 21, 2024 Filed Mar 26, 2024 01:30 UTC FATE THERAPEUTICS INC FATE · Entity 5968 GrantPre-Funded Warrants to Purchase Common Stock · Derivative 3,636,364 $5.50 Strike: $0.00 $19,996,365.64
Disclosure

SEC source: 0001104659-24-038585 · tm249642-1_4seq1.xml · derivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 3,893,674

Underlying: Common Stock · 3,636,364 shares

Expires not disclosed

F1 · security: On March 21, 2024, concurrently with the underwritten public offering of the Issuer's common stock, par value $0.001 per share (the "Common Stock"), a private investment vehicle managed by Redmile Group, LLC ("Redmile") acquired pre-funded warrants (the "Pre-Funded Warrants") to purchase shares of Common Stock (the "Pre-Funded Warrant Shares") for a purchase price per Pre-Funded Warrant equal to $5.50, less $0.001, in a private placement by the Issuer to certain investors pursuant to the terms of a securities purchase agreement, dated as of March 19, 2024 (the "Purchase Agreement").

F2 · derivative.expiration_date: The Pre-Funded Warrants are exercisable by the holder at any time on or after the closing date of the Purchase Agreement until fully exercised at an exercise price of $0.001 per Pre-Funded Warrant Share, subject to a 9.99% beneficial ownership blocker and a limitation on the right of the Issuer to issue the Pre-Funded Warrant Shares if and the extent that such exercise would violate the rules or regulations of Nasdaq Stock Market LLC. The Pre-Funded Warrants have no expiration date.

F3 · ownership.nature: The securities reported herein are directly owned by the certain private investment vehicles managed by Redmile, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the private investment vehicles and by Jeremy Green as the managing principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that the Reporting Persons are a beneficial owners of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
March 15, 2024 Filed Mar 20, 2024 01:30 UTC Augmedix, Inc. AUGX · Entity 86996 GrantCommon Stock 3,125 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-036336 · tm249187-1_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 16,408,909

F1 · shares: On March 15, 2024 (the "Grant Date"), at the election of Mr. Robert Faulkner, the reported shares of the Common Stock were issued in lieu of cash compensation that Mr. Faulkner is entitled to receive for his services as a member of the Issuer's Board of Directors for Q1 2024 based on the closing price of the Common Stock on the Grant Date. The reported shares are fully vested and unrestricted, subject to the terms and conditions set forth in the Issuer's 2020 Equity Incentive Plan.

F2 · ownership.nature: These securities were granted to Mr. Faulkner, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile and its affiliates, Mr. Faulkner holds these securities as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the securities to Redmile. Mr. Faulkner disclaims beneficial ownership of the securities, and the filing of this Form 4 shall not be deemed an admission that Mr. Faulkner is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.nature: Other than the reported securities, the common stock of the Issuer reported herein are directly owned by the certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), and may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (collectively, the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that such Reporting Persons are a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
March 12, 2024 Filed Mar 13, 2024 17:17 UTC Science 37 Holdings, Inc. SNCE · Entity 15235 Disposition to issuerEarn-Out Right · Derivative 95,765 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-034011 · tm248657-2_4seq1.xml · derivative · entry 3

Redmile Group, LLC · CIK 0001425738 · Former 10% Owner and Director

Green Jeremy · CIK 0001650527 · Former 10% Owner and Director

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 95,765 shares

Expires not disclosed

F4 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time, all "Earn-Out Rights" (that is, all rights to receive the Issuer's Common Stock that were reserved for issuance as "Earn-Out Shares" pursuant to, and under the circumstances set forth in, Section 2.8 of the Agreement and Plan of Merger dated as of May 6, 2021 by and among the Issuer, LifeSci Acquisition II Corp. and LifeSci Acquisition II Merger Sub, Inc.) that were outstanding immediately prior to the Effective Time automatically were cancelled and ceased to exist at the Effective Time.

F1 · shares: The reported securities were disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 28, 2024, among the Issuer, eMed, LLC, a Delaware limited liability company ("Parent"), and Marlin Merger Sub Corporation, a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for all outstanding shares of the Issuer's common stock ("Common Stock") at a purchase price of $5.75 per share, without interest and subject to applicable withholding taxes (the "Offer Price"), which such tender offer expired on March 11, 2024. On March 12, 2024, after completion of the tender offer, Merger Sub merged with and into the Issuer, effective as of March 12, 2024 (such date and time of such merger, the "Effective Time"). These shares of Common Stock were tendered for purchase pursuant to the tender offer.

F4 · shares: Pursuant to the Merger Agreement, at the Effective Time, all "Earn-Out Rights" (that is, all rights to receive the Issuer's Common Stock that were reserved for issuance as "Earn-Out Shares" pursuant to, and under the circumstances set forth in, Section 2.8 of the Agreement and Plan of Merger dated as of May 6, 2021 by and among the Issuer, LifeSci Acquisition II Corp. and LifeSci Acquisition II Merger Sub, Inc.) that were outstanding immediately prior to the Effective Time automatically were cancelled and ceased to exist at the Effective Time.

F1 · price: The reported securities were disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 28, 2024, among the Issuer, eMed, LLC, a Delaware limited liability company ("Parent"), and Marlin Merger Sub Corporation, a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for all outstanding shares of the Issuer's common stock ("Common Stock") at a purchase price of $5.75 per share, without interest and subject to applicable withholding taxes (the "Offer Price"), which such tender offer expired on March 11, 2024. On March 12, 2024, after completion of the tender offer, Merger Sub merged with and into the Issuer, effective as of March 12, 2024 (such date and time of such merger, the "Effective Time"). These shares of Common Stock were tendered for purchase pursuant to the tender offer.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, all "Earn-Out Rights" (that is, all rights to receive the Issuer's Common Stock that were reserved for issuance as "Earn-Out Shares" pursuant to, and under the circumstances set forth in, Section 2.8 of the Agreement and Plan of Merger dated as of May 6, 2021 by and among the Issuer, LifeSci Acquisition II Corp. and LifeSci Acquisition II Merger Sub, Inc.) that were outstanding immediately prior to the Effective Time automatically were cancelled and ceased to exist at the Effective Time.

F4 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, all "Earn-Out Rights" (that is, all rights to receive the Issuer's Common Stock that were reserved for issuance as "Earn-Out Shares" pursuant to, and under the circumstances set forth in, Section 2.8 of the Agreement and Plan of Merger dated as of May 6, 2021 by and among the Issuer, LifeSci Acquisition II Corp. and LifeSci Acquisition II Merger Sub, Inc.) that were outstanding immediately prior to the Effective Time automatically were cancelled and ceased to exist at the Effective Time.

F6 · ownership.nature: Other than the reported securities that were granted to Mr. Faulkner, the common stock of the Issuer reported herein was directly owned by the certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), and may have been deemed beneficially owned by Redmile as investment manager of the Redmile Funds. The reported securities may also have been deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (collectively, the "Reporting Persons") disclaimed beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons was a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
March 12, 2024 Filed Mar 13, 2024 17:17 UTC Science 37 Holdings, Inc. SNCE · Entity 15235 Disposition to issuerStock Options (Right to Buy) · Derivative 2,068 Not disclosed Strike: $201.00 Not disclosed
Disclosure

SEC source: 0001104659-24-034011 · tm248657-2_4seq1.xml · derivative · entry 2

Redmile Group, LLC · CIK 0001425738 · Former 10% Owner and Director

Green Jeremy · CIK 0001650527 · Former 10% Owner and Director

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 2,068 shares

Expires not disclosed

F1 · shares: The reported securities were disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 28, 2024, among the Issuer, eMed, LLC, a Delaware limited liability company ("Parent"), and Marlin Merger Sub Corporation, a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for all outstanding shares of the Issuer's common stock ("Common Stock") at a purchase price of $5.75 per share, without interest and subject to applicable withholding taxes (the "Offer Price"), which such tender offer expired on March 11, 2024. On March 12, 2024, after completion of the tender offer, Merger Sub merged with and into the Issuer, effective as of March 12, 2024 (such date and time of such merger, the "Effective Time"). These shares of Common Stock were tendered for purchase pursuant to the tender offer.

F3 · shares: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock that was outstanding and unexercised immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F1 · price: The reported securities were disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 28, 2024, among the Issuer, eMed, LLC, a Delaware limited liability company ("Parent"), and Marlin Merger Sub Corporation, a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for all outstanding shares of the Issuer's common stock ("Common Stock") at a purchase price of $5.75 per share, without interest and subject to applicable withholding taxes (the "Offer Price"), which such tender offer expired on March 11, 2024. On March 12, 2024, after completion of the tender offer, Merger Sub merged with and into the Issuer, effective as of March 12, 2024 (such date and time of such merger, the "Effective Time"). These shares of Common Stock were tendered for purchase pursuant to the tender offer.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock that was outstanding and unexercised immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock that was outstanding and unexercised immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F5 · ownership.nature: Certain of these securities were granted to Mr. Faulkner, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile and its affiliates, Mr. Faulkner held these securities as a nominee on behalf, and for the sole benefit, of Redmile and assigned all economic, pecuniary and voting rights in respect of the securities to Redmile. Mr. Faulkner has disclaimed beneficial ownership of the securities, and the filing of this Form 4 shall not be deemed an admission that Mr. Faulkner was the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F6 · ownership.nature: Other than the reported securities that were granted to Mr. Faulkner, the common stock of the Issuer reported herein was directly owned by the certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), and may have been deemed beneficially owned by Redmile as investment manager of the Redmile Funds. The reported securities may also have been deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (collectively, the "Reporting Persons") disclaimed beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons was a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
March 12, 2024 Filed Mar 13, 2024 17:17 UTC Science 37 Holdings, Inc. SNCE · Entity 15235 OtherCommon Stock 1,017,203 $5.75 $5,848,917.25
Disclosure

SEC source: 0001104659-24-034011 · tm248657-2_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Former 10% Owner and Director

Green Jeremy · CIK 0001650527 · Former 10% Owner and Director

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · shares: The reported securities were disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 28, 2024, among the Issuer, eMed, LLC, a Delaware limited liability company ("Parent"), and Marlin Merger Sub Corporation, a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for all outstanding shares of the Issuer's common stock ("Common Stock") at a purchase price of $5.75 per share, without interest and subject to applicable withholding taxes (the "Offer Price"), which such tender offer expired on March 11, 2024. On March 12, 2024, after completion of the tender offer, Merger Sub merged with and into the Issuer, effective as of March 12, 2024 (such date and time of such merger, the "Effective Time"). These shares of Common Stock were tendered for purchase pursuant to the tender offer.

F2 · shares: Each restricted stock unit represents a contingent right to receive one share of the Common Stock. Pursuant to the Merger Agreement, at the Effective Time, each restricted stock unit that was outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive a cash payment (without interest and subject to any applicable tax withholding) equal to (A) the Offer Price, multiplied by (B) the number of shares of Common Stock subject to such restricted stock unit. This number includes 24,742 unvested restricted stock units.

F5 · ownership.nature: Certain of these securities were granted to Mr. Faulkner, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile and its affiliates, Mr. Faulkner held these securities as a nominee on behalf, and for the sole benefit, of Redmile and assigned all economic, pecuniary and voting rights in respect of the securities to Redmile. Mr. Faulkner has disclaimed beneficial ownership of the securities, and the filing of this Form 4 shall not be deemed an admission that Mr. Faulkner was the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F6 · ownership.nature: Other than the reported securities that were granted to Mr. Faulkner, the common stock of the Issuer reported herein was directly owned by the certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), and may have been deemed beneficially owned by Redmile as investment manager of the Redmile Funds. The reported securities may also have been deemed beneficially owned by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (collectively, the "Reporting Persons") disclaimed beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons was a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
March 12, 2024 Filed Mar 14, 2024 19:45 UTC IGM Biosciences, Inc. IGMS · Entity 76422 GrantStock Option (Right to Buy) · Derivative 29,400 $0.00 Strike: $9.95 $0.00
Disclosure

SEC source: 0001104659-24-034643 · tm248883-2_4seq1.xml · derivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 29,400

Underlying: Common Stock · 29,400 shares

Expires 2034-03-12

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest each month that is completed after the date of the Issuer's first annual stockholder meeting following the grant date of the options (the "Annual Meeting"), provided that the options will vest in full on the earlier of (i) the 12-month anniversary of the Annual Meeting, or (ii) the date of the Issuer's next annual stockholder meeting, in each case subject to Mike Lee continuing to provide his service as a member of the Board of Directors of the Issuer through the applicable vesting date.

F2 · ownership.nature: The stock option was granted to Mr. Lee, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the Board of Directors of the Issuer. Pursuant to the policies of Redmile, Mr. Lee holds this stock option as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the stock option to Redmile. Mr. Lee disclaims beneficial ownership of the stock option, and the filing of this Form 4 shall not be deemed an admission that Mr. Lee is the beneficial owner of the stock option for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.nature: The stock option may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the stock option except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the stock option for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
March 01, 2024 Filed Mar 6, 2024 02:30 UTC Absci Corp ABSI · Entity 4685 PurchaseCommon Stock 222,222 $4.50 $999,999.00
Disclosure

SEC source: 0001104659-24-031215 · tm247653-2_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director

Green Jeremy · CIK 0001650527 · Director

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 8,253,316

F1 · shares: On March 1, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), purchased 222,222 shares of the Issuer's Common Stock in an underwritten offering by the Issuer.

F2 · ownership.nature: The securities of the Issuer reported herein are directly owned by certain private investment vehicles managed by Redmile, and may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the stock option for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 21:30 UTC IGM Biosciences, Inc. IGMS · Entity 76422 ConversionNon-Voting Common Stock · Derivative 113,400 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-030166 · tm247650-1_4seq1.xml · derivative · entry 2

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 7,199,325

Underlying: Common Stock · 113,400 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On February 28, 2024, a private investment vehicle managed by Redmile Group, LLC ("Redmile") converted certain shares of the Issuer's non-voting common stock ("Non-Voting Stock") to shares of the Issuer's common stock ("Voting Stock").

F2 · derivative.expiration_date: Shares of Non-Voting Stock are convertible into shares of Voting Stock in accordance with the terms of the Issuer's Amended and Restated Certificate of Incorporation (the "Certificate") at any time and from time to time at the holder's election on a 1-for-1 basis for no additional consideration. Such conversion rate is reflected in the amount listed under Column 7. The Certificate provides that the holder may not convert any shares of Non-Voting Stock if, after giving effect to the attempted conversion, the holder and its affiliates would collectively beneficially own more than 4.99% of the number of shares of Voting Stock outstanding after giving effect to such attempted conversion, which percentage may be changed at a holder's election upon 61 days' notice to the Issuer.

F3 · derivative.expiration_date: On December 4, 2023, the private investment vehicles managed by Redmile (the "Redmile Clients") that directly own shares of the Non-Voting Stock elected to increase the beneficial ownership percentage applicable to their shares from 4.99% to 10.95%, which increase became effective 61 days after the date of such election. The Non-Voting Stock has no expiration date.

F4 · ownership.nature: The reported securities are held directly by the Redmile Clients and may be deemed beneficially owned by Redmile as the investment manager of such Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 21:30 UTC IGM Biosciences, Inc. IGMS · Entity 76422 ConversionCommon Stock 113,400 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-030166 · tm247650-1_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 3,089,062

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On February 28, 2024, a private investment vehicle managed by Redmile Group, LLC ("Redmile") converted certain shares of the Issuer's non-voting common stock ("Non-Voting Stock") to shares of the Issuer's common stock ("Voting Stock").

F4 · ownership.nature: The reported securities are held directly by the Redmile Clients and may be deemed beneficially owned by Redmile as the investment manager of such Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
February 07, 2024 Filed Feb 10, 2024 02:50 UTC ADC Therapeutics SA ADCT · Entity 6502 PurchaseCash-settled Swaps · Derivative 107,590 Not disclosed Strike: $3.99 Not disclosed
Disclosure

SEC source: 0001104659-24-013529 · tm245827-2_4seq1.xml · derivative · entry 22

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 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: 107,590

Underlying: Common Shares · 107,590 shares

Expires not disclosed

F8 · derivative.exercise_price: Represents the reference price associated with the swap agreements.

F7 · price: Upon settlement of the various swap agreements, either (i) the counterparty will pay to the Redmile Clients in cash an amount determined in part by reference to any increase between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement or (ii) the Redmile Clients will pay to the counterparty in cash an amount determined in part by reference to any decrease between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement.

F4 · derivative.exercise_date: Certain Redmile Clients, including RedCo II, are parties to swap agreements with counterparties that provide those Redmile Clients with economic exposure to notional shares of the Issuer. Each notional share subject to each swap agreement represents the economic equivalent of one share of the Issuer's common stock. These agreements do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the Issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the Issuer.

F5 · derivative.exercise_date: (cont'd) Accordingly, the Reporting Persons disclaim any beneficial ownership in securities that may be referenced in such swap agreements or that may be held from time to time by any counterparties to the agreements.

F7 · derivative.exercise_date: Upon settlement of the various swap agreements, either (i) the counterparty will pay to the Redmile Clients in cash an amount determined in part by reference to any increase between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement or (ii) the Redmile Clients will pay to the counterparty in cash an amount determined in part by reference to any decrease between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement.

F6 · derivative.expiration_date: The Reporting Persons have the right to terminate and close out each swap at any time.

F2 · ownership.direct: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.direct: These securities are directly owned by RedCo II.

Read SEC document
February 02, 2024 Filed Feb 10, 2024 02:50 UTC ADC Therapeutics SA ADCT · Entity 6502 PurchaseCash-settled Swaps · Derivative 11,159 Not disclosed Strike: $3.59 Not disclosed
Disclosure

SEC source: 0001104659-24-013529 · tm245827-2_4seq1.xml · derivative · entry 21

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 11,159

Underlying: Common Shares · 11,159 shares

Expires not disclosed

F8 · derivative.exercise_price: Represents the reference price associated with the swap agreements.

F7 · price: Upon settlement of the various swap agreements, either (i) the counterparty will pay to the Redmile Clients in cash an amount determined in part by reference to any increase between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement or (ii) the Redmile Clients will pay to the counterparty in cash an amount determined in part by reference to any decrease between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement.

F4 · derivative.exercise_date: Certain Redmile Clients, including RedCo II, are parties to swap agreements with counterparties that provide those Redmile Clients with economic exposure to notional shares of the Issuer. Each notional share subject to each swap agreement represents the economic equivalent of one share of the Issuer's common stock. These agreements do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the Issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the Issuer.

F5 · derivative.exercise_date: (cont'd) Accordingly, the Reporting Persons disclaim any beneficial ownership in securities that may be referenced in such swap agreements or that may be held from time to time by any counterparties to the agreements.

F7 · derivative.exercise_date: Upon settlement of the various swap agreements, either (i) the counterparty will pay to the Redmile Clients in cash an amount determined in part by reference to any increase between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement or (ii) the Redmile Clients will pay to the counterparty in cash an amount determined in part by reference to any decrease between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement.

F6 · derivative.expiration_date: The Reporting Persons have the right to terminate and close out each swap at any time.

F1 · ownership.nature: These securities are directly owned by certain private investment vehicles and sub-advised accounts managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles and sub-advised accounts managed by Redmile, the "Redmile Clients"). Redmile may be deemed to beneficially own the reported securities as investment manager of the Redmile Clients.

F2 · ownership.nature: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
February 02, 2024 Filed Feb 10, 2024 02:50 UTC ADC Therapeutics SA ADCT · Entity 6502 PurchaseCash-settled Swaps · Derivative 144,517 Not disclosed Strike: $3.59 Not disclosed
Disclosure

SEC source: 0001104659-24-013529 · tm245827-2_4seq1.xml · derivative · entry 20

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 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: 144,517

Underlying: Common Shares · 144,517 shares

Expires not disclosed

F8 · derivative.exercise_price: Represents the reference price associated with the swap agreements.

F7 · price: Upon settlement of the various swap agreements, either (i) the counterparty will pay to the Redmile Clients in cash an amount determined in part by reference to any increase between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement or (ii) the Redmile Clients will pay to the counterparty in cash an amount determined in part by reference to any decrease between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement.

F4 · derivative.exercise_date: Certain Redmile Clients, including RedCo II, are parties to swap agreements with counterparties that provide those Redmile Clients with economic exposure to notional shares of the Issuer. Each notional share subject to each swap agreement represents the economic equivalent of one share of the Issuer's common stock. These agreements do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the Issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the Issuer.

F5 · derivative.exercise_date: (cont'd) Accordingly, the Reporting Persons disclaim any beneficial ownership in securities that may be referenced in such swap agreements or that may be held from time to time by any counterparties to the agreements.

F7 · derivative.exercise_date: Upon settlement of the various swap agreements, either (i) the counterparty will pay to the Redmile Clients in cash an amount determined in part by reference to any increase between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement or (ii) the Redmile Clients will pay to the counterparty in cash an amount determined in part by reference to any decrease between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement.

F6 · derivative.expiration_date: The Reporting Persons have the right to terminate and close out each swap at any time.

F2 · ownership.direct: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.direct: These securities are directly owned by RedCo II.

Read SEC document
February 01, 2024 Filed Feb 10, 2024 02:50 UTC ADC Therapeutics SA ADCT · Entity 6502 PurchaseCash-settled Swaps · Derivative 15,867 Not disclosed Strike: $3.51 Not disclosed
Disclosure

SEC source: 0001104659-24-013529 · tm245827-2_4seq1.xml · derivative · entry 19

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 15,867

Underlying: Common Shares · 15,867 shares

Expires not disclosed

F8 · derivative.exercise_price: Represents the reference price associated with the swap agreements.

F7 · price: Upon settlement of the various swap agreements, either (i) the counterparty will pay to the Redmile Clients in cash an amount determined in part by reference to any increase between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement or (ii) the Redmile Clients will pay to the counterparty in cash an amount determined in part by reference to any decrease between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement.

F4 · derivative.exercise_date: Certain Redmile Clients, including RedCo II, are parties to swap agreements with counterparties that provide those Redmile Clients with economic exposure to notional shares of the Issuer. Each notional share subject to each swap agreement represents the economic equivalent of one share of the Issuer's common stock. These agreements do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the Issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the Issuer.

F5 · derivative.exercise_date: (cont'd) Accordingly, the Reporting Persons disclaim any beneficial ownership in securities that may be referenced in such swap agreements or that may be held from time to time by any counterparties to the agreements.

F7 · derivative.exercise_date: Upon settlement of the various swap agreements, either (i) the counterparty will pay to the Redmile Clients in cash an amount determined in part by reference to any increase between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement or (ii) the Redmile Clients will pay to the counterparty in cash an amount determined in part by reference to any decrease between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement.

F6 · derivative.expiration_date: The Reporting Persons have the right to terminate and close out each swap at any time.

F1 · ownership.nature: These securities are directly owned by certain private investment vehicles and sub-advised accounts managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles and sub-advised accounts managed by Redmile, the "Redmile Clients"). Redmile may be deemed to beneficially own the reported securities as investment manager of the Redmile Clients.

F2 · ownership.nature: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
February 01, 2024 Filed Feb 10, 2024 02:50 UTC ADC Therapeutics SA ADCT · Entity 6502 PurchaseCash-settled Swaps · Derivative 205,483 Not disclosed Strike: $3.51 Not disclosed
Disclosure

SEC source: 0001104659-24-013529 · tm245827-2_4seq1.xml · derivative · entry 18

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 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: 205,483

Underlying: Common Shares · 205,483 shares

Expires not disclosed

F8 · derivative.exercise_price: Represents the reference price associated with the swap agreements.

F7 · price: Upon settlement of the various swap agreements, either (i) the counterparty will pay to the Redmile Clients in cash an amount determined in part by reference to any increase between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement or (ii) the Redmile Clients will pay to the counterparty in cash an amount determined in part by reference to any decrease between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement.

F4 · derivative.exercise_date: Certain Redmile Clients, including RedCo II, are parties to swap agreements with counterparties that provide those Redmile Clients with economic exposure to notional shares of the Issuer. Each notional share subject to each swap agreement represents the economic equivalent of one share of the Issuer's common stock. These agreements do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the Issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the Issuer.

F5 · derivative.exercise_date: (cont'd) Accordingly, the Reporting Persons disclaim any beneficial ownership in securities that may be referenced in such swap agreements or that may be held from time to time by any counterparties to the agreements.

F7 · derivative.exercise_date: Upon settlement of the various swap agreements, either (i) the counterparty will pay to the Redmile Clients in cash an amount determined in part by reference to any increase between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement or (ii) the Redmile Clients will pay to the counterparty in cash an amount determined in part by reference to any decrease between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement.

F6 · derivative.expiration_date: The Reporting Persons have the right to terminate and close out each swap at any time.

F2 · ownership.direct: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.direct: These securities are directly owned by RedCo II.

Read SEC document
February 01, 2024 Filed Feb 10, 2024 02:50 UTC ADC Therapeutics SA ADCT · Entity 6502 OtherCash-settled Swaps · Derivative 19,700 $3.38 Strike: $3.25 $66,680.56
Disclosure

SEC source: 0001104659-24-013529 · tm245827-2_4seq1.xml · derivative · entry 17

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,180,136

Underlying: Common Shares · 19,700 shares

Expires not disclosed

F8 · derivative.exercise_price: Represents the reference price associated with the swap agreements.

F9 · kind: Reflects the partial settlement of an equity swap agreement entered into by and between a Redmile Client and a securities broker on December 16, 2023.

F9 · price: Reflects the partial settlement of an equity swap agreement entered into by and between a Redmile Client and a securities broker on December 16, 2023.

F4 · derivative.exercise_date: Certain Redmile Clients, including RedCo II, are parties to swap agreements with counterparties that provide those Redmile Clients with economic exposure to notional shares of the Issuer. Each notional share subject to each swap agreement represents the economic equivalent of one share of the Issuer's common stock. These agreements do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the Issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the Issuer.

F5 · derivative.exercise_date: (cont'd) Accordingly, the Reporting Persons disclaim any beneficial ownership in securities that may be referenced in such swap agreements or that may be held from time to time by any counterparties to the agreements.

F7 · derivative.exercise_date: Upon settlement of the various swap agreements, either (i) the counterparty will pay to the Redmile Clients in cash an amount determined in part by reference to any increase between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement or (ii) the Redmile Clients will pay to the counterparty in cash an amount determined in part by reference to any decrease between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement.

F6 · derivative.expiration_date: The Reporting Persons have the right to terminate and close out each swap at any time.

F1 · ownership.nature: These securities are directly owned by certain private investment vehicles and sub-advised accounts managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles and sub-advised accounts managed by Redmile, the "Redmile Clients"). Redmile may be deemed to beneficially own the reported securities as investment manager of the Redmile Clients.

F2 · ownership.nature: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document

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