organization · Reporting owner

Vivo Opportunity, LLC

Disclosed activity across 9 companies

Tapewire entity: 30106
SEC CIK: 0001728970

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
ALX ONCOLOGY HOLDINGS INCALXO · Entity 6040	10% owner	July 21, 2020	July 22, 2020
Crinetics Pharmaceuticals, Inc.CRNX · Entity 3579	10% owner	March 09, 2020	March 11, 2020
InMed Pharmaceuticals Inc.INM · Entity 8139	10% owner	July 14, 2026	July 17, 2026
Kadmon Holdings, Inc.KDMN · Entity 133686	10% owner	January 07, 2019	January 08, 2019

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.

ALX ONCOLOGY HOLDINGS INC

Report date July 21, 2020 · Filed July 22, 2020

Jointly reported with Vivo Capital IX, LLC, Vivo Capital Fund IX, L.P., Vivo Opportunity Fund, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	789,474	Reported balance After 2020-07-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2020-07-21 · Purchase · Acquired 789,474 · Balance 789,474 F1: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	4,034,522	Reported balance After 2020-07-21 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2020-07-21 · Conversion · Acquired 3,245,048 · Balance 4,034,522 F3: Includes 86,197 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. F2: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	185,526	Reported balance After 2020-07-21 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2020-07-21 · Purchase · Acquired 185,526 · Balance 185,526 F4: The shares are held of record by Vivo Opportunity Fund, L.P. (VOF). Vivo Opportunity, LLC is the general partner of VOF. As the managing members of Vivo Opportunity, LLC, Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.
Series C Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2020-07-21 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2020-07-21 · Conversion · Disposed 3,158,851 · Balance 0 F2: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

F2: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F3: Includes 86,197 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.

F4: The shares are held of record by Vivo Opportunity Fund, L.P. (VOF). Vivo Opportunity, LLC is the general partner of VOF. As the managing members of Vivo Opportunity, LLC, Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Crinetics Pharmaceuticals, Inc.

Report date March 09, 2020 · Filed March 11, 2020

Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Fund VIII, L.P., Vivo Capital Surplus Fund VIII, L.P., Vivo Opportunity Fund, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	2,722,045	Reported balance After 2020-03-09 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2020-03-09 · Sale · Disposed 347 · Balance 2,722,045 F6: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.3 to $19.7, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F1: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF"). F4: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	375,880	Reported balance After 2020-03-09 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2020-03-09 · Sale · Disposed 48 · Balance 375,880 F6: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.3 to $19.7, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F2: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). F4: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	168,165	Reported balance After 2020-03-09 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2020-03-09 · Sale · Disposed 133 · Balance 168,165 F6: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.3 to $19.7, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F3: These securities are held of record by Vivo Opportunity Fund, L.P. ("VOF"). F5: Vivo Opportunity, LLC is the general partner of VOF. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF").

F2: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF").

F3: These securities are held of record by Vivo Opportunity Fund, L.P. ("VOF").

F4: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes.

F5: Vivo Opportunity, LLC is the general partner of VOF. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes.

F6: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.3 to $19.7, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4.

InMed Pharmaceuticals Inc.

Report date July 14, 2026 · Filed July 17, 2026

Jointly reported with Vivo Opportunity Fund Holdings, L.P., Vivo Opportunity Cayman, LLC, Vivo Opportunity Cayman Fund, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common SharesSEC Table I · non-derivative	IndirectBy Vivo Opportunity Fund Holdings, L.P.	743,057	Last balance in matching sequence After 2026-07-16 transaction · row 5 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2026-07-14 · Purchase · Acquired 4,882 · Balance 729,277 F1: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 3 · 2026-07-15 · Purchase · Acquired 13,761 · Balance 743,038 F1: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 5 · 2026-07-16 · Purchase · Acquired 19 · Balance 743,057 F1: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common SharesSEC Table I · non-derivative	IndirectBy Vivo Opportunity Cayman Fund, L.P.	75,019	Last balance in matching sequence After 2026-07-16 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 2 · 2026-07-14 · Purchase · Acquired 493 · Balance 73,628 F2: Vivo Opportunity Cayman, LLC is the general partner of Vivo Opportunity Cayman Fund, L.P., the record holder of the securities. Vivo Opportunity Cayman, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 4 · 2026-07-15 · Purchase · Acquired 1,389 · Balance 75,017 F2: Vivo Opportunity Cayman, LLC is the general partner of Vivo Opportunity Cayman Fund, L.P., the record holder of the securities. Vivo Opportunity Cayman, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 6 · 2026-07-16 · Purchase · Acquired 2 · Balance 75,019 F2: Vivo Opportunity Cayman, LLC is the general partner of Vivo Opportunity Cayman Fund, L.P., the record holder of the securities. Vivo Opportunity Cayman, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F2: Vivo Opportunity Cayman, LLC is the general partner of Vivo Opportunity Cayman Fund, L.P., the record holder of the securities. Vivo Opportunity Cayman, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Kadmon Holdings, Inc.

Report date January 07, 2019 · Filed January 08, 2019

Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Fund VIII, L.P., Vivo Capital Surplus Fund VIII, L.P., Vivo Opportunity Fund, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Vivo Capital Fund VIII, L.P.	3,195,151	Reported balance Holding disclosure · report date 2019-01-07 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 3,195,151 F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy Vivo Capital Surplus Fund VIII, L.P.	441,212	Reported balance Holding disclosure · report date 2019-01-07 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 441,212 F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy Vivo Opportunity Fund, L.P.	8,970,242	Reported balance Holding disclosure · report date 2019-01-07 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 8,970,242 F2: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Warrant (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $3.35 · Expires 2022-09-28	IndirectBy Vivo Capital Fund VIII, L.P.	Not disclosed	Reported balance Holding disclosure · report date 2019-01-07 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance Not disclosed F3: The Warrants may be exercised at any time on or after September 28, 2017. Each warrant represents the right to purchase 0.4 of a share of Common Stock of the Issuer, provided, however, that the warrant holder will be prohibited from exercising the warrants if and to the extent, as a result of such exercise, the holder, together with its affiliates and certain related parties, and any persons acting as a group together with such holder or any affiliate, would own more than 9.99% of the total number of shares of Common Stock of the Issuer outstanding immediately after giving effect to such exercise. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Warrant (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $3.35 · Expires 2022-09-28	IndirectBy Vivo Capital Surplus Fund VIII, L.P.	Not disclosed	Reported balance Holding disclosure · report date 2019-01-07 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance Not disclosed F3: The Warrants may be exercised at any time on or after September 28, 2017. Each warrant represents the right to purchase 0.4 of a share of Common Stock of the Issuer, provided, however, that the warrant holder will be prohibited from exercising the warrants if and to the extent, as a result of such exercise, the holder, together with its affiliates and certain related parties, and any persons acting as a group together with such holder or any affiliate, would own more than 9.99% of the total number of shares of Common Stock of the Issuer outstanding immediately after giving effect to such exercise. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F2: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F3: The Warrants may be exercised at any time on or after September 28, 2017. Each warrant represents the right to purchase 0.4 of a share of Common Stock of the Issuer, provided, however, that the warrant holder will be prohibited from exercising the warrants if and to the extent, as a result of such exercise, the holder, together with its affiliates and certain related parties, and any persons acting as a group together with such holder or any affiliate, would own more than 9.99% of the total number of shares of Common Stock of the Issuer outstanding immediately after giving effect to such exercise.

Past disclosures · reporting ended (5)

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

Bolt Biotherapeutics, Inc.

Report date November 21, 2023 · Filed November 22, 2023

Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Fund VIII, L.P., Vivo Capital Surplus Fund VIII, L.P., Vivo Opportunity Fund Holdings, L.P., Vivo Panda, LLC, Vivo Panda Fund, L.P.

Section 16 reporting ended · disclosed 2023-11-22. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Capital Fund VIII, L.P.	1,952,302	Reported balance After 2023-11-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-11-21 · Sale · Disposed 1,707 · Balance 1,952,302 F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.90 to $0.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F1: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Capital Surplus Fund VIII, L.P.	269,587	Reported balance After 2023-11-21 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2023-11-21 · Sale · Disposed 236 · Balance 269,587 F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.90 to $0.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F2: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Opportunity Fund Holdings, L.P.	111,662	Reported balance After 2023-11-21 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2023-11-21 · Sale · Disposed 1,457 · Balance 111,662 F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.90 to $0.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F3: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Panda Fund, L.P.	1,448,286	Reported balance Holding disclosure · report date 2023-11-21 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 1,448,286

Filing footnotes · ownership attribution and instrument terms

F1: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F2: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F3: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.90 to $0.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

IO Biotech, Inc.

Report date August 09, 2023 · Filed August 10, 2023

Jointly reported with Vivo Capital IX, LLC, Vivo Capital Fund IX, L.P., Vivo Opportunity Fund Holdings, L.P.

Section 16 reporting ended · disclosed 2023-08-10. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Vivo Opportunity Fund Holdings, L.P.	3,157,894	Reported balance After 2023-08-09 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-08-09 · Purchase · Acquired 3,157,894 · Balance 3,157,894 F1: Purchase was made pursuant to that certain Securities Purchase Agreement dated as of August 7, 2023, by and among the Issuer and the purchasers named therein. F2: The securities are held directly by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P. As the managing members of Vivo Opportunity, LLC, Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang share voting and dispositive power over the securities held by Vivo Opportunity Fund Holdings, L.P., but each disclaims beneficial ownership of such securities except to the extent of their individual pecuniary interest therein.
Warrants (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.47	IndirectBy Vivo Opportunity Fund Holdings, L.P.	3,157,894	Reported balance After 2023-08-09 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2023-08-09 · Purchase · Acquired 3,157,894 · Balance 3,157,894 F1: Purchase was made pursuant to that certain Securities Purchase Agreement dated as of August 7, 2023, by and among the Issuer and the purchasers named therein. F3: These warrants expire at 5:00 p.m. on the earlier of (i) February 9, 2027, and (ii) one day prior to the closing of an Acquisition of the Issuer, as defined in the Form of Warrant, attached as Exhibit 4.1 to the Issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on August 7, 2023, provided that the holder will be prohibited from exercising these warrants if, after giving effect to such exercise, the holder (together with such holder's affiliates and any other persons acting as a group together) would beneficially own in excess of 9.99% of the shares of common stock of the Issuer outstanding immediately after giving effect to such exercise. F2: The securities are held directly by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P. As the managing members of Vivo Opportunity, LLC, Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang share voting and dispositive power over the securities held by Vivo Opportunity Fund Holdings, L.P., but each disclaims beneficial ownership of such securities except to the extent of their individual pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Capital Fund IX, L.P.	3,015,545	Reported balance Holding disclosure · report date 2023-08-09 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 3,015,545

Filing footnotes · ownership attribution and instrument terms

F1: Purchase was made pursuant to that certain Securities Purchase Agreement dated as of August 7, 2023, by and among the Issuer and the purchasers named therein.

F2: The securities are held directly by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P. As the managing members of Vivo Opportunity, LLC, Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang share voting and dispositive power over the securities held by Vivo Opportunity Fund Holdings, L.P., but each disclaims beneficial ownership of such securities except to the extent of their individual pecuniary interest therein.

F3: These warrants expire at 5:00 p.m. on the earlier of (i) February 9, 2027, and (ii) one day prior to the closing of an Acquisition of the Issuer, as defined in the Form of Warrant, attached as Exhibit 4.1 to the Issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on August 7, 2023, provided that the holder will be prohibited from exercising these warrants if, after giving effect to such exercise, the holder (together with such holder's affiliates and any other persons acting as a group together) would beneficially own in excess of 9.99% of the shares of common stock of the Issuer outstanding immediately after giving effect to such exercise.

SOLENO THERAPEUTICS INC

Report date March 26, 2025 · Filed March 28, 2025

Jointly reported with Vivo Opportunity Fund Holdings, L.P.

Section 16 reporting ended · disclosed 2025-03-28. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Vivo Opportunity Fund Holdings, L.P.	4,458,294	Last balance in matching sequence After 2025-03-28 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2025-03-26 · Sale · Disposed 400,000 · Balance 5,891,851 F2: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $64.3 to $70, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4. F1: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 2 · 2025-03-27 · Sale · Disposed 1,100,000 · Balance 4,791,851 F3: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $65 to $72.8, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4. F1: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 3 · 2025-03-28 · Sale · Disposed 333,557 · Balance 4,458,294 F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $67.0 to $73.8, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4. F1: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F2: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $64.3 to $70, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

F3: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $65 to $72.8, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4.

F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $67.0 to $73.8, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4.

Sierra Oncology, Inc.

Report date July 01, 2022 · Filed July 01, 2022

Jointly reported with Vivo Opportunity Fund Holdings, L.P., Vivo Capital IX, LLC, Vivo Capital Fund IX, L.P., VIVO VENTURES VII, LLC, Vivo Ventures Fund VII, L.P., Vivo Ventures VII Affiliates Fund, L.P.

Section 16 reporting ended · disclosed 2022-07-01. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P.	Reported balance After 2022-07-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2022-07-01 · Disposition to issuer · Disposed 161,712 · Balance 0 F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F1: Vivo Ventures VII, LLC ("Vivo Ventures LLC") is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Vivo Ventures LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Opportunity Fund Holdings, L.P.	Reported balance After 2022-07-01 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2022-07-01 · Disposition to issuer · Disposed 2,735,853 · Balance 0 F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F3: Vivo Opportunity, LLC ("Vivo Opportunity LLC") is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Capital Fund IX, L.P.	Reported balance After 2022-07-01 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2022-07-01 · Disposition to issuer · Disposed 431,947 · Balance 0 F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $13.20 · Expires 2024-11-13	IndirectBy: Vivo Capital Fund IX, L.P.	Reported balance After 2022-07-01 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2022-07-01 · Disposition to issuer · Disposed 324,740 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants. F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $13.20 · Expires 2024-11-13	IndirectBy: Vivo Opportunity Fund Holdings, L.P.	Reported balance After 2022-07-01 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2022-07-01 · Disposition to issuer · Disposed 1,455,384 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants. F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F3: Vivo Opportunity, LLC ("Vivo Opportunity LLC") is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $13.20 · Expires 2024-11-13	IndirectBy: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P.	Reported balance After 2022-07-01 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2022-07-01 · Disposition to issuer · Disposed 75,749 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants. F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F1: Vivo Ventures VII, LLC ("Vivo Ventures LLC") is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Vivo Ventures LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: Vivo Ventures VII, LLC ("Vivo Ventures LLC") is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Vivo Ventures LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest.

F3: Vivo Opportunity, LLC ("Vivo Opportunity LLC") is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F4: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F5: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants.

Terns Pharmaceuticals, Inc.

Report date April 01, 2024 · Filed April 04, 2024

Jointly reported with Vivo Opportunity Fund Holdings, L.P., Vivo Capital VIII, LLC, Vivo Capital Fund VIII, L.P., Vivo Capital Surplus Fund VIII, L.P.

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

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Vivo Opportunity Fund Holdings, L.P.	4,023,741	Last balance in matching sequence After 2024-04-03 transaction · row 7 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2024-04-01 · Sale · Disposed 136,255 · Balance 4,203,957 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.71 to $7.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F1: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 4 · 2024-04-02 · Sale · Disposed 76,346 · Balance 4,127,611 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F6: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.50 to $6.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4. F1: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 7 · 2024-04-03 · Sale · Disposed 103,870 · Balance 4,023,741 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F7: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $5.97 to $6.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (7) to this Form 4. F1: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Capital Fund VIII, L.P.	1,945,015	Last balance in matching sequence After 2024-04-03 transaction · row 8 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 2 · 2024-04-01 · Sale · Disposed 39,411 · Balance 1,997,146 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.71 to $7.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F2: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 5 · 2024-04-02 · Sale · Disposed 22,084 · Balance 1,975,062 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F6: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.50 to $6.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4. F2: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 8 · 2024-04-03 · Sale · Disposed 30,047 · Balance 1,945,015 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F7: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $5.97 to $6.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (7) to this Form 4. F2: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Capital Surplus Fund VIII, L.P.	268,573	Last balance in matching sequence After 2024-04-03 transaction · row 9 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 3 · 2024-04-01 · Sale · Disposed 5,451 · Balance 275,772 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.71 to $7.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F3: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 6 · 2024-04-02 · Sale · Disposed 3,050 · Balance 272,722 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F6: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.50 to $6.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4. F3: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 9 · 2024-04-03 · Sale · Disposed 4,149 · Balance 268,573 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F7: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $5.97 to $6.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (7) to this Form 4. F3: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F2: The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F3: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023.

F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.71 to $7.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4.

F6: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.50 to $6.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4.

F7: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $5.97 to $6.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (7) to this Form 4.

Transaction history

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

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

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionCommon Stock	43,901	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 12 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 198,169 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. F6 · price: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F9 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionCommon Stock	150,802	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 11 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 154,268 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. F3 · price: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F9 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	PurchaseCommon Stock	175,733	$20.00	$3,514,660.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 10 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,997,216 F5 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	SaleCommon Stock	144	$20.00	$2,880.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 9 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,821,483 F8 · kind: Upon closing of the Issuer's IPO, Vivo Capital Fund VIII, L.P. exercised a warrant to purchase 40,953 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo Capital Fund VIII, L.P. paid the exercise price on a cashless basis, resulting in the Issuer withholding 144 share subject to the warrant in order to pay the exercise price and issuing to Vivo Capital Fund VIII, L.P. the remaining 40,809 shares of Common Stock. F5 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	OtherCommon Stock	40,953	$0.07	$2,866.71	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 8 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,821,627 F5 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionCommon Stock	345,568	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 7 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,780,674 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. F7 · price: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F5 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionCommon Stock	317,922	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 6 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,435,106 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. F6 · price: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F5 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionCommon Stock	1,092,080	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 5 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,117,184 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. F3 · price: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F5 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	SaleCommon Stock	62	$20.00	$1,240.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 4 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 1,448,286 F4 · kind: Upon closing of the Issuer's IPO, Vivo LP exercised a warrant to purchase 17,711 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo LP paid the exercise price on a cashless basis, resulting in the Issuer withholding 62 share subject to the warrant in order to pay the exercise price and issuing to Vivo LP the remaining 17,649 shares of Common Stock. F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	OtherCommon Stock	17,711	$0.07	$1,239.77	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 3 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 1,448,348 F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionCommon Stock	472,296	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 2 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 1,430,637 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. F3 · price: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionCommon Stock	944,056	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 1 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 958,341 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date. F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	ConversionSeries C Preferred Stock · Derivative	50,282	Not disclosed	Not disclosed	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · derivative · entry 9 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 50,282 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. F3 · derivative.exercise_price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · derivative.exercise_date: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · derivative.expiration_date: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	ConversionSeries C Preferred Stock · Derivative	364,138	Not disclosed	Not disclosed	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · derivative · entry 8 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 364,138 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. F3 · derivative.exercise_price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · derivative.exercise_date: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · derivative.expiration_date: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	ConversionSeries B Preferred Stock · Derivative	98,484	Not disclosed	Not disclosed	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · derivative · entry 7 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 216,666 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: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · price: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	ConversionSeries B Preferred Stock · Derivative	713,203	Not disclosed	Not disclosed	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · derivative · entry 6 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,569,047 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: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · price: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	PurchaseCommon Stock	357,353	$17.00	$6,075,001.00	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · nonDerivative · entry 5 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Opportunity Fund, L.P. Disclosed balance after: 357,353 F4 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P. Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	PurchaseCommon Stock	14,275	$17.00	$242,675.00	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · nonDerivative · entry 4 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 281,223 F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	PurchaseCommon Stock	103,372	$17.00	$1,757,324.00	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · nonDerivative · entry 3 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 2,036,557 F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	ConversionCommon Stock	266,948	Not disclosed	Not disclosed	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · nonDerivative · entry 2 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 266,948 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	ConversionCommon Stock	1,933,185	Not disclosed	Not disclosed	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · nonDerivative · entry 1 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,933,185 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
July 21, 2020 Filed Jul 22, 2020 00:25 UTC	ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040	ConversionSeries C Convertible Preferred Stock · Derivative	3,158,851	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-019915 · doc4.xml · derivative · entry 4 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 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 · 3,158,851 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: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · derivative.exercise_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · derivative.expiration_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. Read SEC document
July 21, 2020 Filed Jul 22, 2020 00:25 UTC	ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040	PurchaseCommon Stock	185,526	$19.00	$3,524,994.00	Disclosure SEC source: 0000899243-20-019915 · doc4.xml · nonDerivative · entry 3 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 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: 185,526 F4 · ownership.nature: The shares are held of record by Vivo Opportunity Fund, L.P. (VOF). Vivo Opportunity, LLC is the general partner of VOF. As the managing members of Vivo Opportunity, LLC, Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. Read SEC document
July 21, 2020 Filed Jul 22, 2020 00:25 UTC	ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040	ConversionCommon Stock	3,245,048	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-019915 · doc4.xml · nonDerivative · entry 2 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 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: 4,034,522 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. F3 · shares: Includes 86,197 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. F2 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. Read SEC document
July 21, 2020 Filed Jul 22, 2020 00:25 UTC	ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040	PurchaseCommon Stock	789,474	$19.00	$15,000,006.00	Disclosure SEC source: 0000899243-20-019915 · doc4.xml · nonDerivative · entry 1 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 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: 789,474 F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. Read SEC document
March 09, 2020 Filed Mar 11, 2020 21:12 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	133	$19.50	$2,593.50	Disclosure SEC source: 0001213900-20-006030 · ownership.xml · nonDerivative · entry 3 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 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: 168,165 F6 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.3 to $19.7, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F3 · ownership.nature: These securities are held of record by Vivo Opportunity Fund, L.P. ("VOF"). F5 · ownership.nature: Vivo Opportunity, LLC is the general partner of VOF. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
March 09, 2020 Filed Mar 11, 2020 21:12 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	48	$19.50	$936.00	Disclosure SEC source: 0001213900-20-006030 · ownership.xml · nonDerivative · entry 2 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 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: 375,880 F6 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.3 to $19.7, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F2 · ownership.nature: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). F4 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
March 09, 2020 Filed Mar 11, 2020 21:12 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	347	$19.50	$6,766.50	Disclosure SEC source: 0001213900-20-006030 · ownership.xml · nonDerivative · entry 1 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 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: 2,722,045 F6 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.3 to $19.7, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F1 · ownership.nature: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF"). F4 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
February 10, 2020 Filed Feb 12, 2020 01:00 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	5,904	$21.40	$126,345.60	Disclosure SEC source: 0001213900-20-003326 · ownership.xml · nonDerivative · entry 6 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See foonotes Disclosed balance after: 168,298 F7 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.4 to $21.6, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (7) to this Form 4 F3 · ownership.nature: These securities are held of record by Vivo Opportunity Fund, L.P. ("VOF"). F5 · ownership.nature: Vivo Opportunity, LLC is the general partner of VOF. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
February 10, 2020 Filed Feb 12, 2020 01:00 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	200	$21.40	$4,280.00	Disclosure SEC source: 0001213900-20-003326 · ownership.xml · nonDerivative · entry 5 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See foonotes Disclosed balance after: 375,928 F7 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.4 to $21.6, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (7) to this Form 4 F2 · ownership.nature: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). F4 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, and none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
February 10, 2020 Filed Feb 12, 2020 01:00 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	1,451	$21.40	$31,051.40	Disclosure SEC source: 0001213900-20-003326 · ownership.xml · nonDerivative · entry 4 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See foonotes Disclosed balance after: 2,722,392 F7 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.4 to $21.6, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (7) to this Form 4 F1 · ownership.nature: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF"). F4 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, and none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
February 07, 2020 Filed Feb 12, 2020 01:00 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	4,614	$22.00	$101,508.00	Disclosure SEC source: 0001213900-20-003326 · ownership.xml · nonDerivative · entry 3 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See foonotes Disclosed balance after: 174,202 F6 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.9 to $22.2, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F3 · ownership.nature: These securities are held of record by Vivo Opportunity Fund, L.P. ("VOF"). F5 · ownership.nature: Vivo Opportunity, LLC is the general partner of VOF. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
February 07, 2020 Filed Feb 12, 2020 01:00 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	157	$22.00	$3,454.00	Disclosure SEC source: 0001213900-20-003326 · ownership.xml · nonDerivative · entry 2 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See foonotes Disclosed balance after: 376,128 F6 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.9 to $22.2, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F2 · ownership.nature: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). F4 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, and none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
February 07, 2020 Filed Feb 12, 2020 01:00 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	1,134	$22.00	$24,948.00	Disclosure SEC source: 0001213900-20-003326 · ownership.xml · nonDerivative · entry 1 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See foonotes Disclosed balance after: 2,723,843 F6 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.9 to $22.2, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F1 · ownership.nature: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF"). F4 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, and none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
February 04, 2020 Filed Feb 7, 2020 00:22 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	10,519	$22.80	$239,833.20	Disclosure SEC source: 0001213900-20-002831 · ownership.xml · nonDerivative · entry 3 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Footnotes Disclosed balance after: 178,816 F6 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.2 to $23.0, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F3 · ownership.nature: These securities are held of record by Vivo Opportunity Fund, L.P. ("VOF"). F5 · ownership.nature: Vivo Opportunity, LLC is the general partner of VOF. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
February 04, 2020 Filed Feb 7, 2020 00:22 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	357	$22.80	$8,139.60	Disclosure SEC source: 0001213900-20-002831 · ownership.xml · nonDerivative · entry 2 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Footnotes Disclosed balance after: 376,285 F6 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.2 to $23.0, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F2 · ownership.nature: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). F4 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, and none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
February 04, 2020 Filed Feb 7, 2020 00:22 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	2,584	$22.80	$58,915.20	Disclosure SEC source: 0001213900-20-002831 · ownership.xml · nonDerivative · entry 1 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Footnotes Disclosed balance after: 2,724,977 F6 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.2 to $23.0, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F1 · ownership.nature: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF"). F4 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, and none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
January 31, 2020 Filed Feb 1, 2020 01:00 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	4,220	$21.70	$91,574.00	Disclosure SEC source: 0001213900-20-002314 · ownership.xml · nonDerivative · entry 9 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See foonotes Disclosed balance after: 189,335 F8 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.2 to $22.0, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (8) to this Form 4. F3 · ownership.nature: These securities are held of record by Vivo Opportunity Fund, L.P. ("VOF"). F5 · ownership.nature: Vivo Opportunity, LLC is the general partner of VOF. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
January 31, 2020 Filed Feb 1, 2020 01:00 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	143	$21.70	$3,103.10	Disclosure SEC source: 0001213900-20-002314 · ownership.xml · nonDerivative · entry 8 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See foonotes Disclosed balance after: 376,642 F8 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.2 to $22.0, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (8) to this Form 4. F2 · ownership.nature: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). F4 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, and none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
January 31, 2020 Filed Feb 1, 2020 01:00 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	1,037	$21.70	$22,502.90	Disclosure SEC source: 0001213900-20-002314 · ownership.xml · nonDerivative · entry 7 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See foonotes Disclosed balance after: 2,727,561 F8 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.2 to $22.0, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (8) to this Form 4. F1 · ownership.nature: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF"). F4 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, and none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
January 30, 2020 Filed Feb 1, 2020 01:00 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	5,940	$22.10	$131,274.00	Disclosure SEC source: 0001213900-20-002314 · ownership.xml · nonDerivative · entry 6 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See foonotes Disclosed balance after: 193,555 F7 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.9 to $22.5, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (7) to this Form 4. F3 · ownership.nature: These securities are held of record by Vivo Opportunity Fund, L.P. ("VOF"). F5 · ownership.nature: Vivo Opportunity, LLC is the general partner of VOF. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
January 30, 2020 Filed Feb 1, 2020 01:00 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	201	$22.10	$4,442.10	Disclosure SEC source: 0001213900-20-002314 · ownership.xml · nonDerivative · entry 5 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See foonotes Disclosed balance after: 376,785 F7 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.9 to $22.5, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (7) to this Form 4. F2 · ownership.nature: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). F4 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, and none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
January 30, 2020 Filed Feb 1, 2020 01:00 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	1,459	$22.10	$32,243.90	Disclosure SEC source: 0001213900-20-002314 · ownership.xml · nonDerivative · entry 4 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See foonotes Disclosed balance after: 2,728,598 F7 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.9 to $22.5, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (7) to this Form 4. F1 · ownership.nature: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF"). F4 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, and none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionSeries A Convertible Voting Preferred Stock · Derivative	4,287	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · derivative · entry 6 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Capital Fund IX, L.P. Disclosed balance after: 0 Underlying: Common Stock · 324,783 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: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F8 · shares: Consists of 4,287 shares of Series A Preferred Stock held by Vivo Capital Fund IX, L.P., which are convertible into an aggregate of 324,783 shares of Common Stock, as adjusted for the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.exercise_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.expiration_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F5 · ownership.nature: Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu are managing members of Vivo Capital IX, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund IX, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionSeries A Convertible Voting Preferred Stock · Derivative	19,213	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · derivative · entry 5 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,455,576 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: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F7 · shares: Consists of 19,213 shares of Series A Preferred Stock held by Vivo Opportunity Fund, L.P., which are convertible into an aggregate of 1,455,576 shares of Common Stock, as adjusted for the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.exercise_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.expiration_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F4 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionSeries A Convertible Voting Preferred Stock · Derivative	1,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · derivative · entry 4 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 75,759 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: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F6 · shares: Consists of 1,000 shares of Series A Preferred Stock held by Vivo Fund VII, which are convertible into an aggregate of 75,759 shares of Common Stock, as adjusted for the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.exercise_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.expiration_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F3 · ownership.nature: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Fund VII. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionCommon Stock	324,783	$0.00	$0.00	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · nonDerivative · entry 3 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Capital Fund IX, L.P. Disclosed balance after: 324,783 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 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · balance_after: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F5 · ownership.nature: Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu are managing members of Vivo Capital IX, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund IX, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionCommon Stock	1,455,576	$0.00	$0.00	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · nonDerivative · entry 2 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 1,455,576 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 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · balance_after: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F4 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionCommon Stock	75,759	$0.00	$0.00	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 136,715 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 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · balance_after: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F3 · ownership.nature: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Fund VII. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Feb 1, 2020 01:00 UTC	Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579	SaleCommon Stock	10,878	$22.20	$241,491.60	Disclosure SEC source: 0001213900-20-002314 · ownership.xml · nonDerivative · entry 3 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See foonotes Disclosed balance after: 199,495 F6 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.1 to $22.5, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F3 · ownership.nature: These securities are held of record by Vivo Opportunity Fund, L.P. ("VOF"). F5 · ownership.nature: Vivo Opportunity, LLC is the general partner of VOF. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. 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.