organization · Reporting owner

Vivo Opportunity Fund Holdings, L.P.

Disclosed activity across 6 companies

Tapewire entity: 30107
SEC CIK: 0001930214

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
InMed Pharmaceuticals Inc.INM · Entity 8139	10% owner	July 14, 2026	July 17, 2026

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.

InMed Pharmaceuticals Inc.

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

Jointly reported with Vivo Opportunity, LLC, 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.

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, LLC, 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, LLC

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, LLC

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, LLC, 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, LLC, 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

JSON API

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

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

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
November 20, 2023 Filed Nov 21, 2023 02:09 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	SaleCommon Stock	23,443	$0.92	$21,567.56	Disclosure SEC source: 0001213900-23-088909 · 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 Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 113,119 F6 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.92 to $0.98, 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 · ownership.nature: 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. Read SEC document
November 20, 2023 Filed Nov 21, 2023 02:09 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	SaleCommon Stock	3,792	$0.92	$3,488.64	Disclosure SEC source: 0001213900-23-088909 · 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 Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 269,823 F6 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.92 to $0.98, 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 · ownership.nature: 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. Read SEC document
November 20, 2023 Filed Nov 21, 2023 02:09 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	SaleCommon Stock	27,465	$0.92	$25,267.80	Disclosure SEC source: 0001213900-23-088909 · 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 Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,954,009 F6 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.92 to $0.98, 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 · ownership.nature: 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. Read SEC document
November 17, 2023 Filed Nov 21, 2023 02:09 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	SaleCommon Stock	7,009	$0.93	$6,518.37	Disclosure SEC source: 0001213900-23-088909 · 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 Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 136,562 F5 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.93 to $0.95, 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 · ownership.nature: 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. Read SEC document
November 17, 2023 Filed Nov 21, 2023 02:09 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	SaleCommon Stock	1,134	$0.93	$1,054.62	Disclosure SEC source: 0001213900-23-088909 · 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 Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 273,615 F5 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.93 to $0.95, 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 · ownership.nature: 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. Read SEC document
November 17, 2023 Filed Nov 21, 2023 02:09 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	SaleComon Stock	8,211	$0.93	$7,636.23	Disclosure SEC source: 0001213900-23-088909 · 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 Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,981,474 F5 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.93 to $0.95, 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 · ownership.nature: 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. Read SEC document
November 16, 2023 Filed Nov 21, 2023 02:09 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	SaleCommon Stock	6,429	$0.96	$6,171.84	Disclosure SEC source: 0001213900-23-088909 · 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 Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 143,571 F4 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.95 to $0.98, 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 · ownership.nature: 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. Read SEC document
November 16, 2023 Filed Nov 21, 2023 02:09 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	SaleCommon Stock	1,040	$0.96	$998.40	Disclosure SEC source: 0001213900-23-088909 · 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 Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 274,749 F4 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.95 to $0.98, 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 · ownership.nature: 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. Read SEC document
November 16, 2023 Filed Nov 21, 2023 02:09 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	SaleCommon Stock	7,531	$0.96	$7,229.76	Disclosure SEC source: 0001213900-23-088909 · 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 Holdings, L.P. · CIK 0001930214 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,989,685 F4 · price: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.95 to $0.98, 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 · ownership.nature: 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. Read SEC document
October 02, 2023 Filed Oct 4, 2023 20:30 UTC	SOLENO THERAPEUTICS INC SLNO · Entity 46432	OtherTranche B Warrants (right to buy) · Derivative	5,215,000	$0.00 Strike: $2.50	$0.00	Disclosure SEC source: 0001013762-23-001637 · ownership.xml · derivative · entry 2 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 0 Underlying: Common Stock · 5,215,000 shares Expires not disclosed F2 · derivative.exercise_date: The Tranche B Warrants are immediately exercisable and expire upon the earlier of (i) November 8, 2026 or (ii) 30 days following receipt of Food and Drug Administration's marketing approval of Diazoxide Choline Extended-Release tablets (DCCR) for the treatment of Prader-Willi syndrome (PWS). F2 · derivative.expiration_date: The Tranche B Warrants are immediately exercisable and expire upon the earlier of (i) November 8, 2026 or (ii) 30 days following receipt of Food and Drug Administration's marketing approval of Diazoxide Choline Extended-Release tablets (DCCR) for the treatment of Prader-Willi syndrome (PWS). F1 · ownership.nature: 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. Read SEC document
October 02, 2023 Filed Oct 4, 2023 20:30 UTC	SOLENO THERAPEUTICS INC SLNO · Entity 46432	OtherCommon Stock	5,215,000	$2.50	$13,037,500.00	Disclosure SEC source: 0001013762-23-001637 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 8,418,093 F1 · ownership.nature: 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. Read SEC document
September 26, 2023 Filed Sep 28, 2023 21:00 UTC	SOLENO THERAPEUTICS INC SLNO · Entity 46432	OtherTranche A Warrants (right to buy) · Derivative	3,203,093	$0.00 Strike: $1.75	$0.00	Disclosure SEC source: 0001213900-23-080555 · ownership.xml · derivative · entry 2 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 0 Underlying: Common Stock · 3,203,093 shares Expires not disclosed F2 · derivative.exercise_date: The Tranche A Warrants are immediately exercisable and expire upon the earlier of (i) November 8, 2026 or (ii) 30 days of announcement of positive top-line data from the randomized withdrawal period of the Issuer's Study C602, an open-label extension study pertaining to Diazoxide Choline Extended-Release tablets (DCCR) for the treatment of Prader-Willi syndrome (PWS). F2 · derivative.expiration_date: The Tranche A Warrants are immediately exercisable and expire upon the earlier of (i) November 8, 2026 or (ii) 30 days of announcement of positive top-line data from the randomized withdrawal period of the Issuer's Study C602, an open-label extension study pertaining to Diazoxide Choline Extended-Release tablets (DCCR) for the treatment of Prader-Willi syndrome (PWS). F1 · ownership.nature: 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. Read SEC document
September 26, 2023 Filed Sep 28, 2023 21:00 UTC	SOLENO THERAPEUTICS INC SLNO · Entity 46432	OtherCommon Stock	3,203,093	$1.75	$5,605,412.75	Disclosure SEC source: 0001213900-23-080555 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 3,203,093 F1 · ownership.nature: 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. Read SEC document
August 09, 2023 Filed Aug 10, 2023 13:03 UTC	IO Biotech, Inc. IOBT · Entity 8764	PurchaseWarrants (Right to Buy) · Derivative	3,157,894	$0.13 Strike: $2.47	$394,736.75	Disclosure SEC source: 0001213900-23-065297 · ownership.xml · derivative · 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 Holdings, L.P. · CIK 0001930214 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 3,157,894 Underlying: Common Stock · 3,157,894 shares Expires not disclosed F1 · kind: 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 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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 · ownership.nature: 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. Read SEC document
August 09, 2023 Filed Aug 10, 2023 13:03 UTC	IO Biotech, Inc. IOBT · Entity 8764	PurchaseCommon Stock	3,157,894	$1.90	$5,999,998.60	Disclosure SEC source: 0001213900-23-065297 · ownership.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 Holdings, L.P. · CIK 0001930214 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 3,157,894 F1 · kind: 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 · ownership.nature: 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. Read SEC document
December 23, 2022 Filed Dec 23, 2022 22:48 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	PurchaseCommon Stock	758,620	$7.25	$5,499,995.00	Disclosure SEC source: 0001213900-22-082664 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 4,340,212 F1 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, 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 Holdings, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her 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
September 07, 2022 Filed Sep 9, 2022 00:00 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	PurchaseCommon Stock	600,000	$3.60	$2,160,000.00	Disclosure SEC source: 0001213900-22-054888 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 3,581,592 F1 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, 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 Holdings, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her 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
August 16, 2022 Filed Aug 17, 2022 00:44 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	PurchasePre-funded Warrants (right to buy) · Derivative	1,500,000	$2.42 Strike: $0.00	$3,629,850.00	Disclosure SEC source: 0001213900-22-048763 · ownership.xml · derivative · entry 6 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 1,500,000 Underlying: Common Stock · 1,500,000 shares Expires not disclosed F4 · kind: The reporting person acquired 1,500,000 shares of Common Stock at $2.42 per share and 1,500,000 pre-funded warrants at $2.41990 per warrant in an underwritten offering. F5 · derivative.exercise_date: The pre-funded warrants have no expiration date and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 4.99% of the outstanding shares of Common Stock of the Issuer. F5 · derivative.expiration_date: The pre-funded warrants have no expiration date and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 4.99% of the outstanding shares of Common Stock of the Issuer. F1 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, 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 Holdings, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her 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
August 16, 2022 Filed Aug 17, 2022 00:44 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	PurchaseCommon Stock	1,500,000	$2.42	$3,630,000.00	Disclosure SEC source: 0001213900-22-048763 · ownership.xml · nonDerivative · entry 3 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 2,981,592 F4 · kind: The reporting person acquired 1,500,000 shares of Common Stock at $2.42 per share and 1,500,000 pre-funded warrants at $2.41990 per warrant in an underwritten offering. F4 · price: The reporting person acquired 1,500,000 shares of Common Stock at $2.42 per share and 1,500,000 pre-funded warrants at $2.41990 per warrant in an underwritten offering. F1 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, 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 Holdings, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her 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
August 15, 2022 Filed Aug 17, 2022 00:44 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	PurchaseCommon Stock	1,218	$2.99	$3,641.82	Disclosure SEC source: 0001213900-22-048763 · ownership.xml · nonDerivative · entry 2 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 1,481,592 F3 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $2.96 to $3.00, 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 (3) to this Form 4. F1 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, 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 Holdings, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her 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
August 12, 2022 Filed Aug 17, 2022 00:44 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	PurchaseCommon Stock	1,123,021	$2.98	$3,346,602.58	Disclosure SEC source: 0001213900-22-048763 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 1,480,374 F2 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $2.83 to $3.02, 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 (2) to this Form 4. F1 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, 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 Holdings, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her 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 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerSeries A Warrants · Derivative	75,749	$0.00 Strike: $13.20	$0.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · derivative · entry 6 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 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 · 75,749 shares Expires 2024-11-13 F5 · timeliness: 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 · shares: 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 · price: 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 · ownership.nature: 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. Read SEC document
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerSeries A Warrants · Derivative	1,455,384	$0.00 Strike: $13.20	$0.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · derivative · entry 5 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 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 Holdings, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,455,384 shares Expires 2024-11-13 F5 · timeliness: 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 · shares: 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 · price: 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 · ownership.nature: 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. Read SEC document
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerSeries A Warrants · Derivative	324,740	$0.00 Strike: $13.20	$0.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · derivative · entry 4 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 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 · 324,740 shares Expires 2024-11-13 F5 · timeliness: 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 · shares: 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 · price: 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. F4 · ownership.nature: 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. Read SEC document
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerCommon Stock	431,947	$55.00	$23,757,085.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · nonDerivative · entry 3 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 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 F2 · acquired: 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 · ownership.nature: 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. Read SEC document
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerCommon Stock	2,735,853	$55.00	$150,471,915.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · nonDerivative · entry 2 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 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 Holdings, L.P. Disclosed balance after: 0 F2 · acquired: 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 · ownership.nature: 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. Read SEC document
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerCommon Stock	161,712	$55.00	$8,894,160.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 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 F2 · acquired: 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 · ownership.nature: 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. 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.