organization · Reporting owner
Redmile Group, LLC
Disclosed activity across 37 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARRAY BIOPHARMA INCARRY · Entity 155788 | 10% owner | September 28, 2016 | September 30, 2016 |
| Absci CorpABSI · Entity 4685 | Director | June 12, 2024 | June 14, 2024 |
| Atara Biotherapeutics, Inc.ATRA · Entity 6828 | Director | July 22, 2026 | July 25, 2026 |
| FATE THERAPEUTICS INCFATE · Entity 5968 | Director · 10% owner | June 12, 2026 | June 15, 2026 |
| MedAvail Holdings, Inc.MDVL · Entity 94590 | Director · 10% owner | June 16, 2023 | June 22, 2023 |
| Neurogene Inc.NLTX · Entity 5160 | 10% owner | March 27, 2020 | April 06, 2020 |
| XERIS PHARMACEUTICALS INCXERS · Entity 134906 | 10% owner | February 19, 2019 | February 21, 2019 |
| Zymeworks Inc.ZYME · Entity 4458 | 10% owner | October 13, 2022 | October 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par valueSEC Table I · non-derivative | IndirectSee Footnote | 16,658,072 |
Reported balance
After 2016-09-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 8,262,136 |
Reported balance
After 2024-06-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 2034-06-11 | IndirectSee Footnotes | 36,274 |
Reported balance
After 2024-06-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 636,852 |
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 rowsRow 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 $0.00 | IndirectSee Footnote | 0 |
Reported balance
After 2026-07-22 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 $0.00 | IndirectSee Footnote | 0 |
Reported balance
After 2026-07-22 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 $0.00 | IndirectSee Footnote | 0 |
Reported balance
After 2026-07-22 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 $0.00 | IndirectSee Footnote | 1,090,907 |
Reported balance
Holding disclosure · report date 2026-07-22 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 $0.00 | IndirectSee Footnote | 2,126,725 |
Reported balance
Holding disclosure · report date 2026-07-22 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.06 · Expires 2036-06-12 | IndirectSee Footnotes | 87,900 |
Reported balance
After 2026-06-12 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series A Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.39 · Expires 2028-06-16 | IndirectSee Footnote | 38,916,562 |
Reported balance
After 2023-06-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2028-06-16 | Direct | 38,916,562 |
Reported balance
After 2023-06-16 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,041,211 |
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 rowsRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee note | 3,000,642 |
Reported balance
After 2019-02-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.00001 per shareSEC Table I · non-derivative | IndirectSee Footnote | 6,075,918 |
Reported balance
After 2022-10-13 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 12,666,731 |
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 rowsRow 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-derivative | Direct | 10,265,297 |
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 rowsRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2019-10-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2019-10-22 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 security | IndirectSee Footnote | 75,000 |
Reported balance
After 2019-10-22 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 $188.64 | IndirectSee Footnote | 20,243 |
Reported balance
After 2019-10-22 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2019-10-22 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2029-10-22 | IndirectSee Footnote | 75,000 |
Reported balance
After 2019-10-22 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2029-10-22 | IndirectSee Footnote | 0 |
Reported balance
After 2019-10-22 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2028-04-25 | IndirectSee Footnote | 0 |
Reported balance
After 2019-10-22 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2028-05-22 | IndirectSee Footnote | 0 |
Reported balance
After 2019-10-22 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2029-05-22 | IndirectSee Footnote | 0 |
Reported balance
After 2019-10-22 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 743,802 |
Reported balance
After 2019-06-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2019-06-24 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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.
Section 16 reporting ended · disclosed 2018-07-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,009,090 |
Reported balance
After 2018-07-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2018-07-23 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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.
Section 16 reporting ended · disclosed 2020-07-30. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,596,222 |
Reported balance
After 2020-07-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee footnote | 0 |
Reported balance
After 2020-07-28 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,768,718 |
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 rowsRow 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.
Section 16 reporting ended · disclosed 2019-06-24. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 715,306 |
Reported balance
After 2019-06-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2019-06-24 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 782,854 |
Reported balance
After 2026-08-06 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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-derivative | IndirectSee footnotes | 1,182,854 |
Reported balance
After 2026-08-06 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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-derivative | Direct | 982,854 |
Reported balance
After 2026-08-06 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee footnotes | 0 |
Reported balance
After 2026-08-06 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2024-10-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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-derivative | Direct | 0 |
Reported balance
After 2024-10-02 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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-derivative | Direct | 0 |
Reported balance
After 2024-10-02 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 $0.00 | IndirectSee Footnote | 0 |
Reported balance
After 2024-10-02 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 $0.00 | Direct | 0 |
Reported balance
After 2024-10-02 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 $1.75 | IndirectSee Footnote | 0 |
Reported balance
After 2024-10-02 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 $1.75 | Direct | 0 |
Reported balance
After 2024-10-02 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,161,458 |
Reported balance
After 2020-02-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2020-02-10 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 696,378 |
Reported balance
After 2019-10-29 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2019-10-29 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 954,420 |
Reported balance
After 2021-11-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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-derivative | IndirectSee Footnote | 1,954,420 |
Reported balance
After 2021-11-02 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2021-11-02 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,394,529 |
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 rowsRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2018-10-02 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2018-10-02 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2018-10-02 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 999,322 |
Reported balance
After 2019-04-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2019-04-23 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2025-08-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee Footnotes | 0 |
Reported balance
After 2025-08-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 $0.01 | IndirectSee Footnotes | 0 |
Reported balance
After 2025-08-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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.
Section 16 reporting ended · disclosed 2021-08-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 3,390,960 |
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 rowsRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2021-08-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 823,371 |
Reported balance
After 2020-08-03 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2020-08-03 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,630,660 |
Reported balance
After 2020-08-25 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2020-08-25 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,176,470 |
Reported balance
After 2020-07-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee footnote | 0 |
Reported balance
After 2020-07-28 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,910,657 |
Reported balance
After 2020-06-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2020-06-05 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,857,706 |
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 rowsRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2023-09-19 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2023-09-19 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2023-09-19 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectSee Footnote | 1,586,174 |
Reported balance
After 2020-06-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2020-06-23 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 779,655 |
Reported balance
After 2018-07-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee footnote | 0 |
Reported balance
After 2018-07-24 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2024-03-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 $201.00 | IndirectSee Footnotes | 0 |
Reported balance
After 2024-03-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 security | IndirectSee Footnotes | 0 |
Reported balance
After 2024-03-12 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Pre-Funded Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee Footnotes | 7,198,553 |
Reported balance
After 2025-08-25 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 $1.08 | IndirectSee Footnotes | 4,097,730 |
Reported balance
After 2025-08-25 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 671,808 |
Reported balance
After 2019-06-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2019-06-21 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee note | 807,256 |
Reported balance
After 2019-02-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee note | 0 |
Reported balance
After 2019-02-19 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectFootnote | 959,540 |
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 rowsRow 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 security | IndirectFootnote | 0 |
Reported balance
After 2018-11-16 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 security | IndirectFootnote | 0 |
Reported balance
After 2018-11-16 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 886,530 |
Reported balance
After 2021-06-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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-derivative | IndirectSee Footnote | 1,936,530 |
Reported balance
After 2021-06-21 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee Footnote | 0 |
Reported balance
After 2021-06-21 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 21, 2023 Filed Apr 22, 2023 01:55 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | PurchaseCommon Stock | 256,639 | $6.18 | $1,586,029.02 |
DisclosureSEC source: 0001104659-23-048557 · tm2313419-7_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: 13,135,758 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.99 to $6.22, 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. F3 · ownership.nature: The securities reported herein are directly owned by certain private investment vehicles and separate accounts managed by Redmile Group, LLC ("Redmile"). The reported securities may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separate accounts 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 |
| April 20, 2023 Filed Apr 22, 2023 01:55 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | PurchaseCommon Stock | 20,000 | $5.99 | $119,800.00 |
DisclosureSEC source: 0001104659-23-048557 · tm2313419-7_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: 12,879,119 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.995 to $6.00, 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. F3 · ownership.nature: The securities reported herein are directly owned by certain private investment vehicles and separate accounts managed by Redmile Group, LLC ("Redmile"). The reported securities may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and separate accounts 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 |
| April 19, 2023 Filed Apr 22, 2023 01:30 UTC | Augmedix, Inc. AUGX · Entity 86996 | GrantPre-Funded Warrants to Purchase Common Stock · Derivative | 3,125,195 | $1.60 Strike: $0.00 | $4,999,999.48 |
DisclosureSEC source: 0001104659-23-048544 · tm2313419-2_4seq1.xml · derivative · 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: 3,125,195 Underlying: Common Stock · 3,125,195 shares Expires not disclosed F1 · security: On April 19, 2023, RedCo II Master Fund, L.P. ("RedCo II"), a private investment vehicle managed by Redmile Group, LLC ("Redmile"), acquired shares of the Issuer's common stock for a purchase price per share equal to $1.60 and pre-funded warrants (the "Pre-Funded Warrants") to purchase the Issuer's common stock (the "Pre-Funded Warrant Shares") for a purchase price per share equal to $1.60, less $0.0001, in a private placement by the Issuer to certain investors pursuant to the terms of a securities purchase agreement, dated as of April 19, 2023 (the "Purchase Agreement"). F2 · derivative.exercise_price: 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 $0.0001 per 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. F1 · price: On April 19, 2023, RedCo II Master Fund, L.P. ("RedCo II"), a private investment vehicle managed by Redmile Group, LLC ("Redmile"), acquired shares of the Issuer's common stock for a purchase price per share equal to $1.60 and pre-funded warrants (the "Pre-Funded Warrants") to purchase the Issuer's common stock (the "Pre-Funded Warrant Shares") for a purchase price per share equal to $1.60, less $0.0001, in a private placement by the Issuer to certain investors pursuant to the terms of a securities purchase agreement, dated as of April 19, 2023 (the "Purchase Agreement"). F2 · derivative.exercise_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 $0.0001 per 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. 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 $0.0001 per 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: These reported securities 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. Each of Redmile and Mr. Green 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 Redmile or Mr. Green 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 |
| April 19, 2023 Filed Apr 22, 2023 01:30 UTC | Augmedix, Inc. AUGX · Entity 86996 | GrantCommon Stock | 1,250,000 | $1.60 | $2,000,000.00 |
DisclosureSEC source: 0001104659-23-048544 · tm2313419-2_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: 15,630,327 F1 · security: On April 19, 2023, RedCo II Master Fund, L.P. ("RedCo II"), a private investment vehicle managed by Redmile Group, LLC ("Redmile"), acquired shares of the Issuer's common stock for a purchase price per share equal to $1.60 and pre-funded warrants (the "Pre-Funded Warrants") to purchase the Issuer's common stock (the "Pre-Funded Warrant Shares") for a purchase price per share equal to $1.60, less $0.0001, in a private placement by the Issuer to certain investors pursuant to the terms of a securities purchase agreement, dated as of April 19, 2023 (the "Purchase Agreement"). F3 · ownership.nature: These reported securities 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. Each of Redmile and Mr. Green 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 Redmile or Mr. Green 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 |
| April 14, 2023 Filed Apr 18, 2023 01:30 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | OtherCash-settled Swaps · Derivative | 550,000 | $5.84 Strike: $3.02 | $3,212,000.00 |
DisclosureSEC source: 0001104659-23-046353 · tm2313044-1_4seq1.xml · derivative · entry 12 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: 559,100 Underlying: Common Stock · 550,000 shares Expires not disclosed F9 · derivative.exercise_price: Represents the reference price associated with the cash-settled swap agreements. F5 · kind: On April 14, 2023, certain private investment vehicles and separate accounts managed by Redmile (the "Redmile Affiliates") engaged in cross trades with respect to their Common Stock, Class A Preferred Stock, pre-funded warrants to purchase Common Stock (the "Pre-Funded Warrants") and cash-settled swap agreements. The reported transactions occurred simultaneously at the market open, at which time the price per share of the Common Stock was $5.84, and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and resulted in no change in either of their aggregate beneficial ownership. F7 · derivative.exercise_date: Certain Redmile Affiliates are parties to swap agreements with counterparties. Each notional share subject to each swap agreement represents the economic equivalent of one share of 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. F8 · derivative.expiration_date: The Redmile Affiliates that are parties to the swap agreements have the right to terminate and close out each swap at any time. Upon settlement of the swap agreements, either (i) the counterparty will pay to the Redmile Affiliates 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 Affiliates 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. F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Affiliates, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Affiliates 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 |
| April 14, 2023 Filed Apr 18, 2023 01:30 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | OtherCash-settled Swaps · Derivative | 550,000 | $5.84 Strike: $3.02 | $3,212,000.00 |
DisclosureSEC source: 0001104659-23-046353 · tm2313044-1_4seq1.xml · derivative · entry 11 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: 559,100 Underlying: Common Stock · 550,000 shares Expires not disclosed F9 · derivative.exercise_price: Represents the reference price associated with the cash-settled swap agreements. F5 · kind: On April 14, 2023, certain private investment vehicles and separate accounts managed by Redmile (the "Redmile Affiliates") engaged in cross trades with respect to their Common Stock, Class A Preferred Stock, pre-funded warrants to purchase Common Stock (the "Pre-Funded Warrants") and cash-settled swap agreements. The reported transactions occurred simultaneously at the market open, at which time the price per share of the Common Stock was $5.84, and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and resulted in no change in either of their aggregate beneficial ownership. F7 · derivative.exercise_date: Certain Redmile Affiliates are parties to swap agreements with counterparties. Each notional share subject to each swap agreement represents the economic equivalent of one share of 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. F8 · derivative.expiration_date: The Redmile Affiliates that are parties to the swap agreements have the right to terminate and close out each swap at any time. Upon settlement of the swap agreements, either (i) the counterparty will pay to the Redmile Affiliates 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 Affiliates 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. F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Affiliates, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Affiliates 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 |
| April 14, 2023 Filed Apr 18, 2023 01:30 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | OtherPre-Funded Warrants to Purchase Common Stock · Derivative | 54,960 | $5.84 Strike: $0.00 | $320,911.44 |
DisclosureSEC source: 0001104659-23-046353 · tm2313044-1_4seq1.xml · derivative · entry 10 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: 257,310 Underlying: Common Stock · 54,960 shares Expires not disclosed F5 · kind: On April 14, 2023, certain private investment vehicles and separate accounts managed by Redmile (the "Redmile Affiliates") engaged in cross trades with respect to their Common Stock, Class A Preferred Stock, pre-funded warrants to purchase Common Stock (the "Pre-Funded Warrants") and cash-settled swap agreements. The reported transactions occurred simultaneously at the market open, at which time the price per share of the Common Stock was $5.84, and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and resulted in no change in either of their aggregate beneficial ownership. F6 · derivative.exercise_date: The Pre-Funded Warrants are exercisable by the holder at any time until fully exercised at an exercise price per share of $0.001, subject to a limitation on the right of the Issuer to issue the Pre-Funded Warrant Shares if and the extent that such exercise would cause the holder and its affiliates to beneficially own in the aggregate more than 9.99% of the combined voting power of all of the securities of the Issuer 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. 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 per share of $0.001, subject to a limitation on the right of the Issuer to issue the Pre-Funded Warrant Shares if and the extent that such exercise would cause the holder and its affiliates to beneficially own in the aggregate more than 9.99% of the combined voting power of all of the securities of the Issuer 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. The Pre-Funded Warrants have no expiration date. F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Affiliates, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Affiliates 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 |
| April 14, 2023 Filed Apr 18, 2023 01:30 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | OtherPre-Funded Warrants to Purchase Common Stock · Derivative | 54,960 | $5.84 Strike: $0.00 | $320,911.44 |
DisclosureSEC source: 0001104659-23-046353 · tm2313044-1_4seq1.xml · derivative · entry 9 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: 257,310 Underlying: Common Stock · 54,960 shares Expires not disclosed F5 · kind: On April 14, 2023, certain private investment vehicles and separate accounts managed by Redmile (the "Redmile Affiliates") engaged in cross trades with respect to their Common Stock, Class A Preferred Stock, pre-funded warrants to purchase Common Stock (the "Pre-Funded Warrants") and cash-settled swap agreements. The reported transactions occurred simultaneously at the market open, at which time the price per share of the Common Stock was $5.84, and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and resulted in no change in either of their aggregate beneficial ownership. F6 · derivative.exercise_date: The Pre-Funded Warrants are exercisable by the holder at any time until fully exercised at an exercise price per share of $0.001, subject to a limitation on the right of the Issuer to issue the Pre-Funded Warrant Shares if and the extent that such exercise would cause the holder and its affiliates to beneficially own in the aggregate more than 9.99% of the combined voting power of all of the securities of the Issuer 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. 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 per share of $0.001, subject to a limitation on the right of the Issuer to issue the Pre-Funded Warrant Shares if and the extent that such exercise would cause the holder and its affiliates to beneficially own in the aggregate more than 9.99% of the combined voting power of all of the securities of the Issuer 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. The Pre-Funded Warrants have no expiration date. F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Affiliates, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Affiliates 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 |
| April 14, 2023 Filed Apr 18, 2023 01:30 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | OtherClass A Convertible Preferred Stock · Derivative | 45,752 | $29.20 | $1,335,958.40 |
DisclosureSEC source: 0001104659-23-046353 · tm2313044-1_4seq1.xml · derivative · entry 8 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: 2,761,108 Underlying: Common Stock · 228,760 shares Expires not disclosed F2 · derivative.exercise_price: The Class A Preferred Stock is convertible into the Issuer's common stock, $0.001 par value per share (the "Common Stock"), in accordance with the terms of Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66. F3 · derivative.exercise_price: The one-for-five conversion rate is taken into account in the amount of underlying Common Stock involved in the cross trade listed under Column 7 of Table II and used to determine the price of the Class A Preferred Stock in connection with the cross trade listed under Column 8 of Table II (which is equal to five times the price per share of the Common Stock underlying the Class A Preferred Stock at the time of the cross trade). F5 · kind: On April 14, 2023, certain private investment vehicles and separate accounts managed by Redmile (the "Redmile Affiliates") engaged in cross trades with respect to their Common Stock, Class A Preferred Stock, pre-funded warrants to purchase Common Stock (the "Pre-Funded Warrants") and cash-settled swap agreements. The reported transactions occurred simultaneously at the market open, at which time the price per share of the Common Stock was $5.84, and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and resulted in no change in either of their aggregate beneficial ownership. F2 · price: The Class A Preferred Stock is convertible into the Issuer's common stock, $0.001 par value per share (the "Common Stock"), in accordance with the terms of Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66. F3 · price: The one-for-five conversion rate is taken into account in the amount of underlying Common Stock involved in the cross trade listed under Column 7 of Table II and used to determine the price of the Class A Preferred Stock in connection with the cross trade listed under Column 8 of Table II (which is equal to five times the price per share of the Common Stock underlying the Class A Preferred Stock at the time of the cross trade). F4 · derivative.exercise_date: The Certificate of Designation provides that the holder may not convert any shares of Class A Preferred Stock if, after giving effect to the attempted conversion, the holder and its affiliates would beneficially own in the aggregate more than 14.99% of the number of shares of Common 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. The Class A Preferred Stock has no expiration date. F4 · derivative.expiration_date: The Certificate of Designation provides that the holder may not convert any shares of Class A Preferred Stock if, after giving effect to the attempted conversion, the holder and its affiliates would beneficially own in the aggregate more than 14.99% of the number of shares of Common 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. The Class A Preferred Stock has no expiration date. F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Affiliates, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Affiliates 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 |
| April 14, 2023 Filed Apr 18, 2023 01:30 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | OtherClass A Convertible Preferred Stock · Derivative | 45,752 | $29.20 | $1,335,958.40 |
DisclosureSEC source: 0001104659-23-046353 · tm2313044-1_4seq1.xml · derivative · entry 7 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: 2,761,108 Underlying: Common Stock · 228,760 shares Expires not disclosed F2 · derivative.exercise_price: The Class A Preferred Stock is convertible into the Issuer's common stock, $0.001 par value per share (the "Common Stock"), in accordance with the terms of Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66. F3 · derivative.exercise_price: The one-for-five conversion rate is taken into account in the amount of underlying Common Stock involved in the cross trade listed under Column 7 of Table II and used to determine the price of the Class A Preferred Stock in connection with the cross trade listed under Column 8 of Table II (which is equal to five times the price per share of the Common Stock underlying the Class A Preferred Stock at the time of the cross trade). F5 · kind: On April 14, 2023, certain private investment vehicles and separate accounts managed by Redmile (the "Redmile Affiliates") engaged in cross trades with respect to their Common Stock, Class A Preferred Stock, pre-funded warrants to purchase Common Stock (the "Pre-Funded Warrants") and cash-settled swap agreements. The reported transactions occurred simultaneously at the market open, at which time the price per share of the Common Stock was $5.84, and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and resulted in no change in either of their aggregate beneficial ownership. F2 · price: The Class A Preferred Stock is convertible into the Issuer's common stock, $0.001 par value per share (the "Common Stock"), in accordance with the terms of Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66. F3 · price: The one-for-five conversion rate is taken into account in the amount of underlying Common Stock involved in the cross trade listed under Column 7 of Table II and used to determine the price of the Class A Preferred Stock in connection with the cross trade listed under Column 8 of Table II (which is equal to five times the price per share of the Common Stock underlying the Class A Preferred Stock at the time of the cross trade). F4 · derivative.exercise_date: The Certificate of Designation provides that the holder may not convert any shares of Class A Preferred Stock if, after giving effect to the attempted conversion, the holder and its affiliates would beneficially own in the aggregate more than 14.99% of the number of shares of Common 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. The Class A Preferred Stock has no expiration date. F4 · derivative.expiration_date: The Certificate of Designation provides that the holder may not convert any shares of Class A Preferred Stock if, after giving effect to the attempted conversion, the holder and its affiliates would beneficially own in the aggregate more than 14.99% of the number of shares of Common 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. The Class A Preferred Stock has no expiration date. F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Affiliates, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Affiliates 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 |
| April 14, 2023 Filed Apr 18, 2023 01:30 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | PurchaseCommon Stock | 25,700 | $6.00 | $154,200.00 |
DisclosureSEC source: 0001104659-23-046353 · tm2313044-1_4seq1.xml · nonDerivative · entry 5 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: 12,859,119 F11 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.995 to $6.0189, 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. F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Affiliates, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Affiliates 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 |
| April 14, 2023 Filed Apr 18, 2023 01:30 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | OtherCommon Stock | 5,492,385 | $5.84 | $32,075,528.40 |
DisclosureSEC source: 0001104659-23-046353 · tm2313044-1_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: 12,833,419 F5 · kind: On April 14, 2023, certain private investment vehicles and separate accounts managed by Redmile (the "Redmile Affiliates") engaged in cross trades with respect to their Common Stock, Class A Preferred Stock, pre-funded warrants to purchase Common Stock (the "Pre-Funded Warrants") and cash-settled swap agreements. The reported transactions occurred simultaneously at the market open, at which time the price per share of the Common Stock was $5.84, and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and resulted in no change in either of their aggregate beneficial ownership. F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Affiliates, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Affiliates 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 |
| April 14, 2023 Filed Apr 18, 2023 01:30 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | OtherCommon Stock | 5,492,385 | $5.84 | $32,075,528.40 |
DisclosureSEC source: 0001104659-23-046353 · tm2313044-1_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: 12,833,419 F5 · kind: On April 14, 2023, certain private investment vehicles and separate accounts managed by Redmile (the "Redmile Affiliates") engaged in cross trades with respect to their Common Stock, Class A Preferred Stock, pre-funded warrants to purchase Common Stock (the "Pre-Funded Warrants") and cash-settled swap agreements. The reported transactions occurred simultaneously at the market open, at which time the price per share of the Common Stock was $5.84, and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and resulted in no change in either of their aggregate beneficial ownership. F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Affiliates, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Affiliates 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 |
| April 14, 2023 Filed Apr 18, 2023 01:30 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | SaleCommon Stock | 302,339 | $5.84 | $1,765,659.76 |
DisclosureSEC source: 0001104659-23-046353 · tm2313044-1_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: 12,833,419 F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Affiliates, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Affiliates 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 |
| April 13, 2023 Filed Apr 18, 2023 01:30 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | ConversionClass A Convertible Preferred Stock · Derivative | 33,441 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-046353 · tm2313044-1_4seq1.xml · derivative · entry 6 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: 2,761,108 Underlying: Common Stock · 167,205 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. F2 · derivative.exercise_price: The Class A Preferred Stock is convertible into the Issuer's common stock, $0.001 par value per share (the "Common Stock"), in accordance with the terms of Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66. F3 · derivative.exercise_price: The one-for-five conversion rate is taken into account in the amount of underlying Common Stock involved in the cross trade listed under Column 7 of Table II and used to determine the price of the Class A Preferred Stock in connection with the cross trade listed under Column 8 of Table II (which is equal to five times the price per share of the Common Stock underlying the Class A Preferred Stock at the time of the cross trade). F1 · kind: On April 13, 2023, a private investment vehicle managed by Redmile Group, LLC ("Redmile") exercised its conversion right with respect to the non-voting Class A Convertible Preferred Stock of the Issuer (the "Class A Preferred Stock") held directly by such private investment vehicle. F2 · price: The Class A Preferred Stock is convertible into the Issuer's common stock, $0.001 par value per share (the "Common Stock"), in accordance with the terms of Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66. F3 · price: The one-for-five conversion rate is taken into account in the amount of underlying Common Stock involved in the cross trade listed under Column 7 of Table II and used to determine the price of the Class A Preferred Stock in connection with the cross trade listed under Column 8 of Table II (which is equal to five times the price per share of the Common Stock underlying the Class A Preferred Stock at the time of the cross trade). F4 · derivative.exercise_date: The Certificate of Designation provides that the holder may not convert any shares of Class A Preferred Stock if, after giving effect to the attempted conversion, the holder and its affiliates would beneficially own in the aggregate more than 14.99% of the number of shares of Common 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. The Class A Preferred Stock has no expiration date. F4 · derivative.expiration_date: The Certificate of Designation provides that the holder may not convert any shares of Class A Preferred Stock if, after giving effect to the attempted conversion, the holder and its affiliates would beneficially own in the aggregate more than 14.99% of the number of shares of Common 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. The Class A Preferred Stock has no expiration date. F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Affiliates, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Affiliates 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 |
| April 13, 2023 Filed Apr 18, 2023 01:30 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | ConversionCommon Stock | 167,205 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-046353 · tm2313044-1_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: 13,135,758 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 April 13, 2023, a private investment vehicle managed by Redmile Group, LLC ("Redmile") exercised its conversion right with respect to the non-voting Class A Convertible Preferred Stock of the Issuer (the "Class A Preferred Stock") held directly by such private investment vehicle. F2 · price: The Class A Preferred Stock is convertible into the Issuer's common stock, $0.001 par value per share (the "Common Stock"), in accordance with the terms of Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66. F3 · price: The one-for-five conversion rate is taken into account in the amount of underlying Common Stock involved in the cross trade listed under Column 7 of Table II and used to determine the price of the Class A Preferred Stock in connection with the cross trade listed under Column 8 of Table II (which is equal to five times the price per share of the Common Stock underlying the Class A Preferred Stock at the time of the cross trade). F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Affiliates, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Affiliates 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 |
| April 04, 2023 Filed Apr 6, 2023 21:30 UTC | IGM Biosciences, Inc. IGMS · Entity 76422 | GrantStock Option (Right to Buy) · Derivative | 15,500 | $0.00 Strike: $12.86 | $0.00 |
DisclosureSEC source: 0001104659-23-042873 · tm2311991-2_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 Footnote Disclosed balance after: 15,500 Underlying: Common Stock · 15,500 shares Expires 2033-04-04 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 Michael 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. 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. 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 |
| March 31, 2023 Filed Apr 4, 2023 21:32 UTC | IGM Biosciences, Inc. IGMS · Entity 76422 | GrantCommon Stock | 492 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-041783 · tm2311421-2_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: 3,336,999 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 securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the 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 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. 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 |
| March 09, 2023 Filed Mar 14, 2023 01:30 UTC | MedAvail Holdings, Inc. MDVL · Entity 94590 | GrantPre-Funded Warrants to Purchase Common Stock · Derivative | 38,916,562 | $0.32 Strike: $0.00 | $12,499,999.71 |
DisclosureSEC source: 0001104659-23-031943 · tm239338-1_4seq1.xml · derivative · 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,916,562 Underlying: Common Stock · 38,916,562 shares Expires not disclosed F1 · security: On March 13, 2023, RedCo II Master Fund, L.P. ("RedCo II"), a private investment vehicle managed by Redmile Group, LLC ("Redmile"), acquired pre-funded warrants (the "Pre-Funded Warrants") to purchase up to an aggregate of 38,916,562 shares of the Issuer's common stock (the "Pre-Funded Warrant Shares") in a private placement by the Issuer to certain investors in the Issuer (the "Private Placement") pursuant to the terms of a securities purchase agreement, dated as of March 9, 2023 (the "Purchase Agreement"), for a purchase price per share equal to $0.3212. F2 · derivative.exercise_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, subject to 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. 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, subject to 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.direct: 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 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. F4 · ownership.direct: RedCo II acquired the Pre-Funded Warrants pursuant to the Purchase Agreement. Read SEC document |
| March 09, 2023 Filed Mar 14, 2023 01:30 UTC | MedAvail Holdings, Inc. MDVL · Entity 94590 | GrantPre-Funded Warrants to Purchase Common Stock · Derivative | 38,916,562 | $0.32 Strike: $0.00 | $12,499,999.71 |
DisclosureSEC source: 0001104659-23-031943 · tm239338-1_4seq1.xml · derivative · 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 38,916,562 Underlying: Common Stock · 38,916,562 shares Expires not disclosed F1 · security: On March 13, 2023, RedCo II Master Fund, L.P. ("RedCo II"), a private investment vehicle managed by Redmile Group, LLC ("Redmile"), acquired pre-funded warrants (the "Pre-Funded Warrants") to purchase up to an aggregate of 38,916,562 shares of the Issuer's common stock (the "Pre-Funded Warrant Shares") in a private placement by the Issuer to certain investors in the Issuer (the "Private Placement") pursuant to the terms of a securities purchase agreement, dated as of March 9, 2023 (the "Purchase Agreement"), for a purchase price per share equal to $0.3212. F2 · derivative.exercise_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, subject to 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. 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, subject to 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: 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 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 |
| December 30, 2022 Filed Jan 4, 2023 21:33 UTC | IGM Biosciences, Inc. IGMS · Entity 76422 | GrantCommon Stock | 230 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-001106 · tm231489-2_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: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,336,507 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 securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the 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 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. 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 |
| October 13, 2022 Filed Oct 18, 2022 01:48 UTC | Zymeworks Inc. ZYME · Entity 4458 | GrantCommon Stock, par value $0.00001 per share | 30,481 | $5.03 | $153,435.26 |
DisclosureSEC source: 0001104659-22-109454 · tm2228333-3_4seq1.xml · nonDerivative · entry 1 Redmile Group, LLC · CIK 0001425738 · 10% owner Green Jeremy · CIK 0001650527 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 6,075,918 F1 · price: 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 · ownership.nature: 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. Read SEC document |
| October 13, 2022 Filed Oct 18, 2022 10:07 UTC Amendment | Zymeworks Inc. ZYME · Entity 4458 | PurchaseCommon Stock, par value $0.00001 per share | 30,481 | $5.03 | $153,435.26 |
DisclosureSEC source: 0001104659-22-109481 · tm2228443-1_4aseq1.xml · nonDerivative · entry 1 Redmile Group, LLC · CIK 0001425738 · 10% owner Green Jeremy · CIK 0001650527 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 6,075,918 F1 · price: 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 · ownership.nature: 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. Read SEC document |
| October 03, 2022 Filed Oct 5, 2022 17:01 UTC | IGM Biosciences, Inc. IGMS · Entity 76422 | OtherPre-Funded Warrants to Purchase Common Stock · Derivative | 16,375 | $22.48 Strike: $0.01 | $368,110.00 |
DisclosureSEC source: 0001104659-22-106360 · tm2227387-4_4seq1.xml · derivative · entry 6 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: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 667,666 Underlying: Common Stock · 16,375 shares Expires not disclosed F1 · kind: Represents a cross-trade of securities of the Issuer among certain private funds managed by Redmile (the "Redmile Funds"). The reported transactions occurred simultaneously at the market open, at which time the price of the Issuer's common stock was $22.49, and therefore the reported transactions resulted in no profit to any of the Redmile Funds, Redmile or Jeremy Green and resulted in no change in the aggregate beneficial ownership of Redmile and Mr. Green. F4 · derivative.expiration_date: The pre-funded warrants to purchase common stock of the Issuer have no expiration date. F5 · ownership.nature: The common stock, non-voting common stock and pre-funded warrants of the Issuer reported herein are directly owned by the Redmile Funds, none of which individually is a 10% owner, and may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds. F6 · ownership.nature: 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. F7 · ownership.nature: Mr. Michael 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. 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 |
| October 03, 2022 Filed Oct 5, 2022 17:01 UTC | IGM Biosciences, Inc. IGMS · Entity 76422 | OtherPre-Funded Warrants to Purchase Common Stock · Derivative | 16,375 | $22.48 Strike: $0.01 | $368,110.00 |
DisclosureSEC source: 0001104659-22-106360 · tm2227387-4_4seq1.xml · derivative · entry 5 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: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 667,666 Underlying: Common Stock · 16,375 shares Expires not disclosed F1 · kind: Represents a cross-trade of securities of the Issuer among certain private funds managed by Redmile (the "Redmile Funds"). The reported transactions occurred simultaneously at the market open, at which time the price of the Issuer's common stock was $22.49, and therefore the reported transactions resulted in no profit to any of the Redmile Funds, Redmile or Jeremy Green and resulted in no change in the aggregate beneficial ownership of Redmile and Mr. Green. F4 · derivative.expiration_date: The pre-funded warrants to purchase common stock of the Issuer have no expiration date. F5 · ownership.nature: The common stock, non-voting common stock and pre-funded warrants of the Issuer reported herein are directly owned by the Redmile Funds, none of which individually is a 10% owner, and may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds. F6 · ownership.nature: 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. F7 · ownership.nature: Mr. Michael 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. 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 |
| October 03, 2022 Filed Oct 5, 2022 17:01 UTC | IGM Biosciences, Inc. IGMS · Entity 76422 | OtherNon-Voting Common Stock · Derivative | 297,801 | $22.49 | $6,697,544.49 |
DisclosureSEC source: 0001104659-22-106360 · tm2227387-4_4seq1.xml · derivative · entry 4 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: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,500,225 Underlying: Common Stock · 297,801 shares Expires not disclosed F2 · derivative.exercise_price: The non-voting common stock is 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. Such conversion rate is reflected in the amount listed under Column 7. F1 · kind: Represents a cross-trade of securities of the Issuer among certain private funds managed by Redmile (the "Redmile Funds"). The reported transactions occurred simultaneously at the market open, at which time the price of the Issuer's common stock was $22.49, and therefore the reported transactions resulted in no profit to any of the Redmile Funds, Redmile or Jeremy Green and resulted in no change in the aggregate beneficial ownership of Redmile and Mr. Green. F2 · derivative.exercise_date: The non-voting common stock is 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. Such conversion rate is reflected in the amount listed under Column 7. F3 · derivative.expiration_date: The Issuer's Amended and Restated Certificate of Incorporation provides that the holder may not convert any shares of non-voting common 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 Common 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. The non-voting common stock has no expiration date. The non-voting Common Stock held by the Redmile Funds may be deemed beneficially owned by Redmile as the investment manager of such Redmile Funds. F5 · ownership.nature: The common stock, non-voting common stock and pre-funded warrants of the Issuer reported herein are directly owned by the Redmile Funds, none of which individually is a 10% owner, and may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds. F6 · ownership.nature: 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. F7 · ownership.nature: Mr. Michael 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. 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 |
| October 03, 2022 Filed Oct 5, 2022 17:01 UTC | IGM Biosciences, Inc. IGMS · Entity 76422 | OtherNon-Voting Common Stock · Derivative | 297,801 | $22.49 | $6,697,544.49 |
DisclosureSEC source: 0001104659-22-106360 · tm2227387-4_4seq1.xml · derivative · entry 3 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: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,500,225 Underlying: Common Stock · 297,801 shares Expires not disclosed F2 · derivative.exercise_price: The non-voting common stock is 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. Such conversion rate is reflected in the amount listed under Column 7. F1 · kind: Represents a cross-trade of securities of the Issuer among certain private funds managed by Redmile (the "Redmile Funds"). The reported transactions occurred simultaneously at the market open, at which time the price of the Issuer's common stock was $22.49, and therefore the reported transactions resulted in no profit to any of the Redmile Funds, Redmile or Jeremy Green and resulted in no change in the aggregate beneficial ownership of Redmile and Mr. Green. F2 · derivative.exercise_date: The non-voting common stock is 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. Such conversion rate is reflected in the amount listed under Column 7. F3 · derivative.expiration_date: The Issuer's Amended and Restated Certificate of Incorporation provides that the holder may not convert any shares of non-voting common 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 Common 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. The non-voting common stock has no expiration date. The non-voting Common Stock held by the Redmile Funds may be deemed beneficially owned by Redmile as the investment manager of such Redmile Funds. F5 · ownership.nature: The common stock, non-voting common stock and pre-funded warrants of the Issuer reported herein are directly owned by the Redmile Funds, none of which individually is a 10% owner, and may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds. F6 · ownership.nature: 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. F7 · ownership.nature: Mr. Michael 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. 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 |
| October 03, 2022 Filed Oct 5, 2022 17:01 UTC | IGM Biosciences, Inc. IGMS · Entity 76422 | OtherCommon Stock | 221,072 | $22.49 | $4,971,909.28 |
DisclosureSEC source: 0001104659-22-106360 · tm2227387-4_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: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,336,277 F1 · kind: Represents a cross-trade of securities of the Issuer among certain private funds managed by Redmile (the "Redmile Funds"). The reported transactions occurred simultaneously at the market open, at which time the price of the Issuer's common stock was $22.49, and therefore the reported transactions resulted in no profit to any of the Redmile Funds, Redmile or Jeremy Green and resulted in no change in the aggregate beneficial ownership of Redmile and Mr. Green. F5 · ownership.nature: The common stock, non-voting common stock and pre-funded warrants of the Issuer reported herein are directly owned by the Redmile Funds, none of which individually is a 10% owner, and may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds. F6 · ownership.nature: 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. F7 · ownership.nature: Mr. Michael 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. 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 |
| October 03, 2022 Filed Oct 5, 2022 17:01 UTC | IGM Biosciences, Inc. IGMS · Entity 76422 | OtherCommon Stock | 221,072 | $22.49 | $4,971,909.28 |
DisclosureSEC source: 0001104659-22-106360 · tm2227387-4_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: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,336,277 F1 · kind: Represents a cross-trade of securities of the Issuer among certain private funds managed by Redmile (the "Redmile Funds"). The reported transactions occurred simultaneously at the market open, at which time the price of the Issuer's common stock was $22.49, and therefore the reported transactions resulted in no profit to any of the Redmile Funds, Redmile or Jeremy Green and resulted in no change in the aggregate beneficial ownership of Redmile and Mr. Green. F5 · ownership.nature: The common stock, non-voting common stock and pre-funded warrants of the Issuer reported herein are directly owned by the Redmile Funds, none of which individually is a 10% owner, and may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds. F6 · ownership.nature: 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. F7 · ownership.nature: Mr. Michael 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. 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 |
| September 30, 2022 Filed Oct 4, 2022 22:01 UTC | IGM Biosciences, Inc. IGMS · Entity 76422 | GrantCommon Stock | 230 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-106087 · tm2227387-2_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: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,336,277 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. 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. 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. 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 |
| July 01, 2022 Filed Jul 6, 2022 21:17 UTC | MedAvail Holdings, Inc. MDVL · Entity 94590 | GrantWarrants to Purchase Shares of Common Stock · Derivative | 3,819,558 | $0.00 Strike: $1.25 | $0.00 |
DisclosureSEC source: 0001104659-22-077763 · tm2220423-2_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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,548,897 Underlying: Common Stock · 3,819,558 shares Expires 2027-07-01 F2 · security: Each Redmile Fund that purchased PIPE Shares was also issued a warrant to purchase the Issuer's common stock (the "Warrant Shares") in an amount equal to 50% of the number of PIPE Shares that such Redmile Fund purchased under the Purchase Agreement. The warrants will be exercisable by the holder at any time on or after the issuance date of the warrant for a period of 5 years. The warrant terms provide the Issuer with a call option to force the warrant-holders to exercise up to 2/3 of the Warrant Shares, with 1/3 of the Warrant Shares being callable beginning on each of the 12 month and 24 month anniversaries of the warrant issuance dates, in each case, until the expiration of the warrants, and subject to the satisfaction of certain pricing conditions relating to the trading of the Issuer's common stock. F3 · security: In the second closing of the Issuer's private placement on July 1, 2022, one of the Redmile Funds, RedCo II Master Fund, L.P. ("RedCo II"), which beneficially owns more than 10% of the Issuer's common stock, acquired 7,639,117 PIPE Shares and was issued a warrant to purchase 3,819,558 Warrant Shares pursuant to the Purchase Agreement. F2 · derivative.exercise_date: Each Redmile Fund that purchased PIPE Shares was also issued a warrant to purchase the Issuer's common stock (the "Warrant Shares") in an amount equal to 50% of the number of PIPE Shares that such Redmile Fund purchased under the Purchase Agreement. The warrants will be exercisable by the holder at any time on or after the issuance date of the warrant for a period of 5 years. The warrant terms provide the Issuer with a call option to force the warrant-holders to exercise up to 2/3 of the Warrant Shares, with 1/3 of the Warrant Shares being callable beginning on each of the 12 month and 24 month anniversaries of the warrant issuance dates, in each case, until the expiration of the warrants, and subject to the satisfaction of certain pricing conditions relating to the trading of the Issuer's common stock. F2 · derivative.expiration_date: Each Redmile Fund that purchased PIPE Shares was also issued a warrant to purchase the Issuer's common stock (the "Warrant Shares") in an amount equal to 50% of the number of PIPE Shares that such Redmile Fund purchased under the Purchase Agreement. The warrants will be exercisable by the holder at any time on or after the issuance date of the warrant for a period of 5 years. The warrant terms provide the Issuer with a call option to force the warrant-holders to exercise up to 2/3 of the Warrant Shares, with 1/3 of the Warrant Shares being callable beginning on each of the 12 month and 24 month anniversaries of the warrant issuance dates, in each case, until the expiration of the warrants, and subject to the satisfaction of certain pricing conditions relating to the trading of the Issuer's common stock. F3 · ownership.direct: In the second closing of the Issuer's private placement on July 1, 2022, one of the Redmile Funds, RedCo II Master Fund, L.P. ("RedCo II"), which beneficially owns more than 10% of the Issuer's common stock, acquired 7,639,117 PIPE Shares and was issued a warrant to purchase 3,819,558 Warrant Shares pursuant to the Purchase Agreement. F4 · ownership.direct: These securities are directly owned by the Redmile Funds (or by RedCo II as indicated), 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 (collectively with Redmile and RedCo II, 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. Read SEC document |
| July 01, 2022 Filed Jul 6, 2022 21:17 UTC | MedAvail Holdings, Inc. MDVL · Entity 94590 | GrantWarrants to Purchase Shares of Common Stock · Derivative | 4,705,881 | $0.00 Strike: $1.25 | $0.00 |
DisclosureSEC source: 0001104659-22-077763 · tm2220423-2_4seq1.xml · derivative · 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 12,069,628 Underlying: Common Stock · 4,705,881 shares Expires 2027-07-01 F2 · security: Each Redmile Fund that purchased PIPE Shares was also issued a warrant to purchase the Issuer's common stock (the "Warrant Shares") in an amount equal to 50% of the number of PIPE Shares that such Redmile Fund purchased under the Purchase Agreement. The warrants will be exercisable by the holder at any time on or after the issuance date of the warrant for a period of 5 years. The warrant terms provide the Issuer with a call option to force the warrant-holders to exercise up to 2/3 of the Warrant Shares, with 1/3 of the Warrant Shares being callable beginning on each of the 12 month and 24 month anniversaries of the warrant issuance dates, in each case, until the expiration of the warrants, and subject to the satisfaction of certain pricing conditions relating to the trading of the Issuer's common stock. F2 · derivative.exercise_date: Each Redmile Fund that purchased PIPE Shares was also issued a warrant to purchase the Issuer's common stock (the "Warrant Shares") in an amount equal to 50% of the number of PIPE Shares that such Redmile Fund purchased under the Purchase Agreement. The warrants will be exercisable by the holder at any time on or after the issuance date of the warrant for a period of 5 years. The warrant terms provide the Issuer with a call option to force the warrant-holders to exercise up to 2/3 of the Warrant Shares, with 1/3 of the Warrant Shares being callable beginning on each of the 12 month and 24 month anniversaries of the warrant issuance dates, in each case, until the expiration of the warrants, and subject to the satisfaction of certain pricing conditions relating to the trading of the Issuer's common stock. F2 · derivative.expiration_date: Each Redmile Fund that purchased PIPE Shares was also issued a warrant to purchase the Issuer's common stock (the "Warrant Shares") in an amount equal to 50% of the number of PIPE Shares that such Redmile Fund purchased under the Purchase Agreement. The warrants will be exercisable by the holder at any time on or after the issuance date of the warrant for a period of 5 years. The warrant terms provide the Issuer with a call option to force the warrant-holders to exercise up to 2/3 of the Warrant Shares, with 1/3 of the Warrant Shares being callable beginning on each of the 12 month and 24 month anniversaries of the warrant issuance dates, in each case, until the expiration of the warrants, and subject to the satisfaction of certain pricing conditions relating to the trading of the Issuer's common stock. F4 · ownership.nature: These securities are directly owned by the Redmile Funds (or by RedCo II as indicated), 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 (collectively with Redmile and RedCo II, 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. Read SEC document |
| July 01, 2022 Filed Jul 6, 2022 21:17 UTC | MedAvail Holdings, Inc. MDVL · Entity 94590 | GrantCommon Stock | 7,639,117 | $1.06 | $8,116,561.81 |
DisclosureSEC source: 0001104659-22-077763 · tm2220423-2_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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,097,796 F1 · security: On July 1, 2022, certain private investment vehicles (collectively, the "Redmile Funds") managed by Redmile Group, LLC ("Redmile"), among other investors in the Issuer, acquired shares of the Issuer's common stock in the second closing of a private placement (the "PIPE Shares") pursuant to a securities purchase agreement, dated as of March 30, 2022 (the "Purchase Agreement"), following the satisfaction of certain closing conditions. F3 · security: In the second closing of the Issuer's private placement on July 1, 2022, one of the Redmile Funds, RedCo II Master Fund, L.P. ("RedCo II"), which beneficially owns more than 10% of the Issuer's common stock, acquired 7,639,117 PIPE Shares and was issued a warrant to purchase 3,819,558 Warrant Shares pursuant to the Purchase Agreement. F3 · ownership.direct: In the second closing of the Issuer's private placement on July 1, 2022, one of the Redmile Funds, RedCo II Master Fund, L.P. ("RedCo II"), which beneficially owns more than 10% of the Issuer's common stock, acquired 7,639,117 PIPE Shares and was issued a warrant to purchase 3,819,558 Warrant Shares pursuant to the Purchase Agreement. F4 · ownership.direct: These securities are directly owned by the Redmile Funds (or by RedCo II as indicated), 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 (collectively with Redmile and RedCo II, 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. Read SEC document |
| July 01, 2022 Filed Jul 6, 2022 21:17 UTC | MedAvail Holdings, Inc. MDVL · Entity 94590 | GrantCommon Stock | 9,411,765 | $1.06 | $10,000,000.31 |
DisclosureSEC source: 0001104659-22-077763 · tm2220423-2_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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 34,604,516 F1 · security: On July 1, 2022, certain private investment vehicles (collectively, the "Redmile Funds") managed by Redmile Group, LLC ("Redmile"), among other investors in the Issuer, acquired shares of the Issuer's common stock in the second closing of a private placement (the "PIPE Shares") pursuant to a securities purchase agreement, dated as of March 30, 2022 (the "Purchase Agreement"), following the satisfaction of certain closing conditions. F4 · ownership.nature: These securities are directly owned by the Redmile Funds (or by RedCo II as indicated), 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 (collectively with Redmile and RedCo II, 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. Read SEC document |
| June 30, 2022 Filed Jul 5, 2022 21:45 UTC | IGM Biosciences, Inc. IGMS · Entity 76422 | GrantCommon Stock | 230 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-077499 · tm2220422-2_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: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 3,336,047 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 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 securities except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that either of the Reporting Persons 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. 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 |
| June 13, 2022 Filed Jun 15, 2022 18:02 UTC | Science 37 Holdings, Inc. SNCE · Entity 15235 | OtherCommon Stock | 6,472,228 | $3.38 | $21,876,130.64 |
DisclosureSEC source: 0001104659-22-071543 · tm2218459-1_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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 19,849,217 F1 · kind: Represents a cross-trade of common stock of the Issuer among certain private funds managed by Redmile Group, LLC ("Redmile" and such private funds, the "Redmile Funds"). The reported transactions occurred simultaneously at no profit to the Reporting Persons and resulted in no change in the aggregate beneficial ownership of the Reporting Persons. F2 · ownership.nature: The common stock of the Issuer reported herein are directly owned by the Redmile Funds, none of which individually is a 10% owner, 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. F3 · ownership.nature: Mr. Robert Faulkner, 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. 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 |
| June 13, 2022 Filed Jun 15, 2022 18:02 UTC | Science 37 Holdings, Inc. SNCE · Entity 15235 | OtherCommon Stock | 6,472,228 | $3.38 | $21,876,130.64 |
DisclosureSEC source: 0001104659-22-071543 · tm2218459-1_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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 19,849,217 F1 · kind: Represents a cross-trade of common stock of the Issuer among certain private funds managed by Redmile Group, LLC ("Redmile" and such private funds, the "Redmile Funds"). The reported transactions occurred simultaneously at no profit to the Reporting Persons and resulted in no change in the aggregate beneficial ownership of the Reporting Persons. F2 · ownership.nature: The common stock of the Issuer reported herein are directly owned by the Redmile Funds, none of which individually is a 10% owner, 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. F3 · ownership.nature: Mr. Robert Faulkner, 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. 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 |
| June 09, 2022 Filed Jun 14, 2022 01:31 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | GrantStock Option (Right to Buy) · Derivative | 11,893 | $0.00 Strike: $23.48 | $0.00 |
DisclosureSEC source: 0001104659-22-070681 · tm2218292-2_4seq1.xml · derivative · entry 2 Redmile Group, LLC · CIK 0001425738 · Director · 10% owner Green Jeremy · CIK 0001650527 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 11,893 Underlying: Common Stock · 11,893 shares Expires 2032-06-09 F5 · derivative.exercise_date: The stock option will vest in full upon the earlier of (i) June 9, 2023 or (ii) the date of the Issuer's 2023 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 equity 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 equity 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. 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 |
| June 09, 2022 Filed Jun 14, 2022 01:31 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | GrantCommon Stock | 8,650 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-070681 · tm2218292-2_4seq1.xml · nonDerivative · entry 1 Redmile Group, LLC · CIK 0001425738 · Director · 10% owner Green Jeremy · CIK 0001650527 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 12,968,553 F1 · shares: The reported securities are represented by restricted stock units, which will vest in full upon the earlier of (i) June 9, 2023 or (ii) the date of the Issuer's 2023 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 equity 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 equity 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. 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 |
| June 08, 2022 Filed Jun 11, 2022 01:30 UTC | Absci Corp ABSI · Entity 4685 | GrantStock Option (Right to Buy) · Derivative | 28,700 | $0.00 Strike: $3.39 | $0.00 |
DisclosureSEC source: 0001104659-22-070285 · tm2218114-1_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: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 28,700 Underlying: Common Stock · 28,700 shares Expires 2032-06-07 F1 · derivative.exercise_date: On June 8, 2022, Mr. Amrit Nagpal received a grant of options to purchase 28,700 shares of the Issuer's common stock, $0.0001 par value (the "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. F2 · ownership.nature: The stock option was 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 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. Nagpal disclaims beneficial ownership of the stock option, and the filing of this Form 4 shall not be deemed an admission that Mr. Nagpal 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. F4 · ownership.nature: Mr. Nagpal was elected to the board of directors of the Issuer as a representative of Redmile. As a result, Redmile and Mr. Green are directors by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| June 08, 2022 Filed Jun 11, 2022 01:32 UTC | Shattuck Labs, Inc. STTK · Entity 5224 | GrantStock Option (Right to Buy) · Derivative | 40,258 | $0.00 Strike: $4.32 | $0.00 |
DisclosureSEC source: 0001104659-22-070289 · tm2218131-2_4.xml · derivative · entry 1 Redmile Group, LLC · CIK 0001425738 · Director · 10% owner Green Jeremy · CIK 0001650527 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 40,258 Underlying: Common Stock · 40,258 shares Expires 2032-06-08 F1 · derivative.exercise_date: ) This option represents a right to purchase a total of 40,258 shares of the Issuer's common stock, which will vest in full on the earlier of the one-year anniversary of the grant date or 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. 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. 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 23, 2022 Filed May 25, 2022 21:30 UTC | Science 37 Holdings, Inc. SNCE · Entity 15235 | GrantCommon Stock | 40,983 | $3.05 | $124,998.15 |
DisclosureSEC source: 0001104659-22-064848 · tm2216885-1_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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 19,849,217 F1 · shares: On May 23, 2022, Mr. Robert Faulkner received restricted stock units representing 40,983 shares of the Issuer's common stock, which vest in full on the earlier of the one-year anniversary of the grant date and the date of the Company's next annual stockholder meeting following the grant date. As restricted stock units vest, the vested units are automatically converted to vested common stock on a one-for-one basis on the vesting date. 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, 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 Group, LLC ("Redmile" and each private investment vehicle, 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. F4 · ownership.nature: Mr. Faulkner, 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. 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 |
| April 04, 2022 Filed Apr 7, 2022 01:45 UTC | MedAvail Holdings, Inc. MDVL · Entity 94590 | GrantWarrants to Purchase Shares of Common Stock · Derivative | 7,058,821 | $0.00 Strike: $1.25 | $0.00 |
DisclosureSEC source: 0001104659-22-043369 · tm2211784-1_4seq1.xml · derivative · 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 7,058,821 Underlying: Common Stock · 7,058,821 shares Expires 2027-04-04 F2 · security: Each Redmile Fund that purchased PIPE Shares was also issued a warrant to purchase the Issuer's common stock (the "Warrant Shares") in an amount equal to 50% of the number of PIPE Shares that such Redmile Fund purchased under the Purchase Agreement. The warrants will be exercisable by the holder at any time on or after the issuance date of the warrant for a period of 5 years. The warrant terms provide the Issuer with a call option to force the warrant-holders to exercise up to 2/3 of the Warrant Shares, with 1/3 of the Warrant Shares being callable beginning on each of the 12 month and 24 month anniversaries of the warrant issuance dates, in each case, until the expiration of the warrants, and subject to the satisfaction of certain pricing conditions relating to the trading of the Issuer's common stock. F2 · derivative.exercise_date: Each Redmile Fund that purchased PIPE Shares was also issued a warrant to purchase the Issuer's common stock (the "Warrant Shares") in an amount equal to 50% of the number of PIPE Shares that such Redmile Fund purchased under the Purchase Agreement. The warrants will be exercisable by the holder at any time on or after the issuance date of the warrant for a period of 5 years. The warrant terms provide the Issuer with a call option to force the warrant-holders to exercise up to 2/3 of the Warrant Shares, with 1/3 of the Warrant Shares being callable beginning on each of the 12 month and 24 month anniversaries of the warrant issuance dates, in each case, until the expiration of the warrants, and subject to the satisfaction of certain pricing conditions relating to the trading of the Issuer's common stock. F2 · derivative.expiration_date: Each Redmile Fund that purchased PIPE Shares was also issued a warrant to purchase the Issuer's common stock (the "Warrant Shares") in an amount equal to 50% of the number of PIPE Shares that such Redmile Fund purchased under the Purchase Agreement. The warrants will be exercisable by the holder at any time on or after the issuance date of the warrant for a period of 5 years. The warrant terms provide the Issuer with a call option to force the warrant-holders to exercise up to 2/3 of the Warrant Shares, with 1/3 of the Warrant Shares being callable beginning on each of the 12 month and 24 month anniversaries of the warrant issuance dates, in each case, until the expiration of the warrants, and subject to the satisfaction of certain pricing conditions relating to the trading of the Issuer's common stock. F4 · ownership.nature: These securities are directly owned by the Redmile 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 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 |
| April 04, 2022 Filed Apr 7, 2022 01:45 UTC | MedAvail Holdings, Inc. MDVL · Entity 94590 | GrantCommon Stock | 14,117,646 | $1.06 | $14,999,998.88 |
DisclosureSEC source: 0001104659-22-043369 · tm2211784-1_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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 25,192,751 F1 · security: On April 4, 2022, certain private investment vehicles (collectively, the "Redmile Funds") managed by Redmile Group, LLC ("Redmile"), among other investors in the Issuer, acquired shares of the Issuer's common stock in a private placement (the "PIPE Shares") pursuant to a securities purchase agreement, dated as of March 30, 2022 (the "Purchase Agreement"), following the satisfaction of certain closing conditions. F3 · balance_after: Since the last Form 4 filing by Redmile and Mr. Green (collectively, the "Reporting Persons"), Redmile has ceased serving as the investment adviser to a separately managed account that held 649,621 shares of the Issuer's common stock (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 the Reporting Persons as disclosed herein does not include the Account Shares and each of the Reporting Persons 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. F4 · ownership.nature: These securities are directly owned by the Redmile 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 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 |
| April 01, 2022 Filed Apr 4, 2022 21:45 UTC | IGM Biosciences, Inc. IGMS · Entity 76422 | PurchaseNon-Voting Common Stock · Derivative | 2,608,695 | $23.00 | $59,999,985.00 |
DisclosureSEC source: 0001104659-22-042451 · tm2211545-1_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: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,500,225 Underlying: Common Stock · 2,608,695 shares Expires not disclosed F3 · derivative.exercise_price: On April 1, 2022, certain private investment vehicles managed by Redmile (the "Redmile Funds") participated in an underwritten public offering of the Issuer's non-voting common stock. The Non-Voting Common Stock is 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. Such conversion rate is reflected in the amount listed under Column 7. F3 · derivative.expiration_date: On April 1, 2022, certain private investment vehicles managed by Redmile (the "Redmile Funds") participated in an underwritten public offering of the Issuer's non-voting common stock. The Non-Voting Common Stock is 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. Such conversion rate is reflected in the amount listed under Column 7. F4 · derivative.expiration_date: (cont'd from 3) The Issuer's Amended and Restated Certificate of Incorporation provides that the holder may not convert any shares of Non-Voting Common 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 Common 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. The Non-Voting Common Stock has no expiration date. The non-voting common stock held by the Redmile Funds may be deemed beneficially owned by Redmile as the investment manager of such Redmile Funds. F3 · ownership.nature: On April 1, 2022, certain private investment vehicles managed by Redmile (the "Redmile Funds") participated in an underwritten public offering of the Issuer's non-voting common stock. The Non-Voting Common Stock is 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. Such conversion rate is reflected in the amount listed under Column 7. F4 · ownership.nature: (cont'd from 3) The Issuer's Amended and Restated Certificate of Incorporation provides that the holder may not convert any shares of Non-Voting Common 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 Common 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. The Non-Voting Common Stock has no expiration date. The non-voting common stock held by the Redmile Funds may be deemed beneficially owned by Redmile as the investment manager of such Redmile Funds. F5 · ownership.nature: The 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 securities except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that either of the Reporting Persons 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 31, 2022 Filed Apr 4, 2022 21:45 UTC | IGM Biosciences, Inc. IGMS · Entity 76422 | GrantCommon Stock | 230 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-042451 · tm2211545-1_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: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,335,817 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. F5 · ownership.nature: The 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 securities except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that either of the Reporting Persons 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. F6 · 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. 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 |
| March 12, 2022 Filed Mar 15, 2022 21:45 UTC | IGM Biosciences, Inc. IGMS · Entity 76422 | GrantStock Option (Right to Buy) · Derivative | 29,497 | $0.00 Strike: $17.11 | $0.00 |
DisclosureSEC source: 0001104659-22-034126 · tm229399-1_4seq1.xml · derivative · 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 29,497 Underlying: Common Stock · 29,497 shares Expires 2032-03-12 F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest each month following the Issuer's 2022 Annual Meeting of Stockholders on the same day of the month, subject to Mr. Michael Lee's continued service to the Issuer through each applicable vesting date; provided, however, if the Issuer's 2023 Annual Meeting of Stockholders is prior to the one-year anniversary of the Issuer's 2022 Annual Meeting of Stockholders, then the shares subject to the option will be fully vested as of the date of the Issuer's 2023 Annual Meeting of Stockholders. 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. 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. 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 |
| December 31, 2021 Filed Jan 4, 2022 21:45 UTC | IGM Biosciences, Inc. IGMS · Entity 76422 | GrantCommon Stock | 130 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-001186 · tm221437d1_4.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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,335,587 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 · balance_after: Since the last Form 4 filing by Redmile Group, LLC ("Redmile") and Jeremy Green (collectively, the "Reporting Persons"), Redmile has ceased serving as the investment adviser to a separately managed account that held 91,100 shares of the Issuer's Common Stock (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 the Reporting Persons as disclosed herein does not include the Account Shares and each of the Reporting Persons 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 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. F4 · ownership.nature: The securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. The Reporting Persons disclaim beneficial ownership of the securities except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that either of the Reporting Persons 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: 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. 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 |
| November 02, 2021 Filed Nov 5, 2021 01:00 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | ConversionSeries B Convertible Preferred Stock · Derivative | 954,420 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-134623 · tm2131859-1_4seq1.xml · derivative · entry 3 Redmile Group, LLC · CIK 0001425738 · 10% owner Green Jeremy · CIK 0001650527 · 10% owner Redmile Biopharma Investments III, L.P. · CIK 0001838746 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 954,420 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F1 · derivative.underlying_shares: 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 · ownership.nature: 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. Read SEC document |
| November 02, 2021 Filed Nov 5, 2021 01:00 UTC | Entrada Therapeutics, Inc. TRDA · Entity 2163 | PurchaseCommon Stock | 1,000,000 | $20.00 | $20,000,000.00 |
DisclosureSEC source: 0001104659-21-134623 · tm2131859-1_4seq1.xml · nonDerivative · entry 2 Redmile Group, LLC · CIK 0001425738 · 10% owner Green Jeremy · CIK 0001650527 · 10% owner Redmile Biopharma Investments III, L.P. · CIK 0001838746 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,954,420 F3 · balance_after: Reflects number of shares owned as of November 2, 2021. F2 · ownership.nature: 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. 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.