Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Adaptimmune Therapeutics PLCADAP · Entity 9824 | Director | August 15, 2025 | August 19, 2025 |
| Black Diamond Therapeutics, Inc.BDTX · Entity 6669 | Director | September 18, 2026 | September 21, 2026 |
| CRISPR Therapeutics AGCRSP · Entity 3852 | Director | September 17, 2026 | September 21, 2026 |
| CVRx, Inc.CVRX · Entity 6920 | Director | June 04, 2024 | June 07, 2024 |
| GENOCEA BIOSCIENCES, INC.GNCA · Entity 12635 | Director · 10% owner | May 24, 2022 | May 26, 2022 |
| Korro Bio, Inc.KRRO · Entity 6388 | Director | June 10, 2026 | June 11, 2026 |
| MBX Biosciences, Inc.MBX · Entity 4247 | 10% owner | September 16, 2024 | September 18, 2024 |
| MINERVA SURGICAL INCUTRS · Entity 115564 | Director | June 10, 2022 | June 14, 2022 |
| Marker Therapeutics, Inc.MRKR · Entity 7609 | 10% owner | December 23, 2024 | December 23, 2024 |
| Monte Rosa Therapeutics, Inc.GLUE · Entity 4828 | Director | July 01, 2026 | July 06, 2026 |
| NEVRO CORPNVRO · Entity 12422 | Director | May 21, 2018 | May 23, 2018 |
| Nkarta, Inc.NKTX · Entity 6346 | Director | June 10, 2026 | June 11, 2026 |
| Savara IncSVRA · Entity 4900 | 10% owner | July 17, 2023 | July 19, 2023 |
| SpyGlass Pharma, Inc.SGP · Entity 5034 | Director · 10% owner | February 09, 2026 | February 11, 2026 |
| Trevi Therapeutics, Inc.TRVI · Entity 4387 | 10% owner | December 31, 2025 | February 13, 2026 |
| X4 Pharmaceuticals, IncASNS · Entity 5638 | 10% owner | June 01, 2018 | July 17, 2018 |
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.
Adaptimmune Therapeutics PLC
Report date August 15, 2025 · Filed August 19, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares with a nominal value of 0.001 GBP per shareSEC Table I · non-derivative | IndirectSee Note 3 | 0 |
Last balance in matching sequence
After 2025-08-18 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2025-08-15 · Sale · Disposed 4,828,206 · Balance 14,671,794 F1: The Ordinary Shares whose sale is reported in this row are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 16, L.P. ("NEA 16"). NEA 16 holds these Ordinary Shares in the form of ADSs. Each ADS represents six Ordinary Shares of Adaptimmune Therapeutics plc (the "Issuer"). F2: The prices reported in Column 4 are per Ordinary Share and were derived from the price per ADS divided by six. The reported price of $0.011 is a weighted average price. These ADSs were sold in multiple transactions at prices ranging from $0.0099 to $0.0118 per Ordinary Share, 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 (the "SEC"), upon request, full information regarding the number of ADSs sold at each separate price within the range set forth in this footnote. F3: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of NEA 16, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 2 · 2025-08-18 · Sale · Disposed 14,671,794 · Balance 0 F1: The Ordinary Shares whose sale is reported in this row are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 16, L.P. ("NEA 16"). NEA 16 holds these Ordinary Shares in the form of ADSs. Each ADS represents six Ordinary Shares of Adaptimmune Therapeutics plc (the "Issuer"). F4: The prices reported in Column 4 are per Ordinary Share and were derived from the price per ADS divided by six. The reported price of $0.012 is a weighted average price. These ADSs were sold in multiple transactions at prices ranging from $0.0114 to $0.0130 per Ordinary Share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of ADSs sold at each separate price within the range set forth in this footnote. F3: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of NEA 16, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Ordinary Shares whose sale is reported in this row are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 16, L.P. ("NEA 16"). NEA 16 holds these Ordinary Shares in the form of ADSs. Each ADS represents six Ordinary Shares of Adaptimmune Therapeutics plc (the "Issuer").
F2: The prices reported in Column 4 are per Ordinary Share and were derived from the price per ADS divided by six. The reported price of $0.011 is a weighted average price. These ADSs were sold in multiple transactions at prices ranging from $0.0099 to $0.0118 per Ordinary Share, 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 (the "SEC"), upon request, full information regarding the number of ADSs sold at each separate price within the range set forth in this footnote.
F3: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of NEA 16, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest.
F4: The prices reported in Column 4 are per Ordinary Share and were derived from the price per ADS divided by six. The reported price of $0.012 is a weighted average price. These ADSs were sold in multiple transactions at prices ranging from $0.0114 to $0.0130 per Ordinary Share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of ADSs sold at each separate price within the range set forth in this footnote.
Black Diamond Therapeutics, Inc.
Report date September 18, 2026 · Filed September 21, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 110,236 |
Reported balance
After 2026-09-18 transaction · row 1
1 source rowRow 1 · 2026-09-18 · Grant · Acquired 7,707 · Balance 110,236 F1: These shares were issued in accordance with the Issuer's Sixth Amended and Restated Non-Employee Director Compensation Policy, pursuant to which the Reporting Person elected to receive shares of the Issuer's common stock in lieu of cash compensation for annual services as a non-employee director of the Issuer. F2: The price reported in Column 4 is based upon the closing market price of the Issuer's common stock on September 17, 2026. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 3 | 4,448,757 |
Reported balance
Holding disclosure · report date 2026-09-18 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 4,448,757 F3: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were issued in accordance with the Issuer's Sixth Amended and Restated Non-Employee Director Compensation Policy, pursuant to which the Reporting Person elected to receive shares of the Issuer's common stock in lieu of cash compensation for annual services as a non-employee director of the Issuer.
F2: The price reported in Column 4 is based upon the closing market price of the Issuer's common stock on September 17, 2026.
F3: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest.
CRISPR Therapeutics AG
Report date September 17, 2026 · Filed September 21, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 16,637 |
Ending reported balance
After 2026-09-17 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-09-17 · Exercise / conversion · Acquired 30,000 · Balance 30,316 Row 2 · 2026-09-17 · Sale · Disposed 13,679 · Balance 16,637 F1: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.97 to $57.43 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.00 · Expires 2026-10-18 | Direct | 0 |
Reported balance
After 2026-09-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-09-17 · Exercise / conversion · Disposed 30,000 · Balance 0 F3: This option was granted on October 18, 2016 with respect to 30,000 Common Shares with 100% of the shares vesting in 36 equal monthly installments beginning October 31, 2016. |
| Common SharesSEC Table I · non-derivative | IndirectSee Note 2 | 29 |
Reported balance
Holding disclosure · report date 2026-09-17 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 29 F2: The Reporting Person is the trustee of The Ali Behbahani Revocable Trust Dated June 26, 2015 (the "Behbahani Trust"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, of such portion of the Common Shares of the Issuer held by the Behbahani Trust in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.97 to $57.43 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F2: The Reporting Person is the trustee of The Ali Behbahani Revocable Trust Dated June 26, 2015 (the "Behbahani Trust"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, of such portion of the Common Shares of the Issuer held by the Behbahani Trust in which the Reporting Person has no pecuniary interest.
F3: This option was granted on October 18, 2016 with respect to 30,000 Common Shares with 100% of the shares vesting in 36 equal monthly installments beginning October 31, 2016.
CVRx, Inc.
Report date June 04, 2024 · Filed June 07, 2024 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.49 · Expires 2034-06-04 | Direct | 27,250 |
Reported balance
After 2024-06-04 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2024-06-04 · Grant · Acquired 27,250 · Balance 27,250 F1: The reporting person's Form 4 filed on June 6, 2024 inadvertently understated the reporting person's stock options granted by 6,289. F2: Vests on the earlier of June 4, 2025 or the Issuer's 2025 annual meeting of stockholders. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person's Form 4 filed on June 6, 2024 inadvertently understated the reporting person's stock options granted by 6,289.
F2: Vests on the earlier of June 4, 2025 or the Issuer's 2025 annual meeting of stockholders.
GENOCEA BIOSCIENCES, INC.
Report date May 24, 2022 · Filed May 26, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 0 |
Last balance in matching sequence
After 2022-05-25 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2022-05-24 · Sale · Disposed 5,931,843 · Balance 4,445,093 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.060 to $0.0746, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. F2: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 2 · 2022-05-25 · Sale · Disposed 4,445,093 · Balance 0 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.0675 to $0.0980, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. F2: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.060 to $0.0746, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.
F2: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.0675 to $0.0980, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
Korro Bio, Inc.
Report date June 10, 2026 · Filed June 11, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.59 · Expires 2036-06-09 | Direct | 14,677 |
Reported balance
After 2026-06-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-10 · Grant · Acquired 14,677 · Balance 14,677 F1: The shares subject to the option vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the date of the next annual meeting of stockholders, subject to continued service as a non-employee director through the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the date of the next annual meeting of stockholders, subject to continued service as a non-employee director through the applicable vesting date.
MBX Biosciences, Inc.
Report date September 16, 2024 · Filed September 18, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 3,614,486 |
Last balance in matching sequence
After 2024-09-16 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2024-09-16 · Conversion · Acquired 1,023,103 · Balance 1,023,103 F1: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock on a one-for-12.0221 basis at any time at the option of the holder, and automatically converted into the number of shares shown in Column 7 immediately prior to the closing of the Issuer's initial public offering on September 16, 2024. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 2 · 2024-09-16 · Conversion · Acquired 2,091,383 · Balance 3,114,486 F1: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock on a one-for-12.0221 basis at any time at the option of the holder, and automatically converted into the number of shares shown in Column 7 immediately prior to the closing of the Issuer's initial public offering on September 16, 2024. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 3 · 2024-09-16 · Purchase · Acquired 500,000 · Balance 3,614,486 F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2024-09-16 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-09-16 · Conversion · Disposed 12,299,854 · Balance 0 F1: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock on a one-for-12.0221 basis at any time at the option of the holder, and automatically converted into the number of shares shown in Column 7 immediately prior to the closing of the Issuer's initial public offering on September 16, 2024. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2024-09-16 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2024-09-16 · Conversion · Disposed 25,142,840 · Balance 0 F1: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock on a one-for-12.0221 basis at any time at the option of the holder, and automatically converted into the number of shares shown in Column 7 immediately prior to the closing of the Issuer's initial public offering on September 16, 2024. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock on a one-for-12.0221 basis at any time at the option of the holder, and automatically converted into the number of shares shown in Column 7 immediately prior to the closing of the Issuer's initial public offering on September 16, 2024. The Preferred Stock had no expiration date.
F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest.
MINERVA SURGICAL INC
Report date June 10, 2022 · Filed June 14, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 58,279 |
Reported balance
After 2022-06-10 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-06-10 · Grant · Acquired 49,792 · Balance 58,279 F1: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. Each RSU award will vest in four equal quarterly installments on the quarterly anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. Each RSU award will vest in four equal quarterly installments on the quarterly anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date.
Marker Therapeutics, Inc.
Report date December 23, 2024 · Filed December 23, 2024
Jointly reported with New Enterprise Associates 16, L.P., NEA Partners 16, L.P., NEA 16 GP, LLC, BASKETT FOREST, Chang Carmen, Florence Anthony A. Jr., Makhzoumi Mohamad, SANDELL SCOTT D, Walker Paul Edward
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,625,678 |
Reported balance
After 2024-12-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-12-23 · Purchase · Acquired 554,250 · Balance 1,625,678 F1: Acquired from the Issuer on December 23, 2024 pursuant to a Securities Purchase Agreement dated December 19, 2024. F2: On January 26, 2023, the Issuer effected a 1-for-10 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. F3: The securities are directly held by New Enterprise Associates 16, L.P. ("NEA 16"), and indirectly held by NEA Partners 16, L.P. ("NEA Partners 16"), the sole general partner of NEA 16, NEA 16 GP, LLC ("NEA 16 GP"), the sole general partner of NEA Partners 16, and the individual managers of NEA 16 GP (NEA Partners 16, NEA 16 GP and the individual managers of NEA 16 GP, together, the "Indirect Reporting Persons").The individual managers of NEA 16 GP are Forest Baskett, Ali Behbahani, Carmen Chang, Anthony A. Florence, Jr., Mohamad Makhzoumi, Scott D. Sandell, and Paul Walker. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 16 in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Acquired from the Issuer on December 23, 2024 pursuant to a Securities Purchase Agreement dated December 19, 2024.
F2: On January 26, 2023, the Issuer effected a 1-for-10 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.
F3: The securities are directly held by New Enterprise Associates 16, L.P. ("NEA 16"), and indirectly held by NEA Partners 16, L.P. ("NEA Partners 16"), the sole general partner of NEA 16, NEA 16 GP, LLC ("NEA 16 GP"), the sole general partner of NEA Partners 16, and the individual managers of NEA 16 GP (NEA Partners 16, NEA 16 GP and the individual managers of NEA 16 GP, together, the "Indirect Reporting Persons").The individual managers of NEA 16 GP are Forest Baskett, Ali Behbahani, Carmen Chang, Anthony A. Florence, Jr., Mohamad Makhzoumi, Scott D. Sandell, and Paul Walker. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 16 in which the Indirect Reporting Persons have no pecuniary interest.
Monte Rosa Therapeutics, Inc.
Report date July 01, 2026 · Filed July 06, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 6,692,298 |
Reported balance
After 2026-07-01 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-07-01 · Other · Disposed 1,000,000 · Balance 6,692,298 F1: New Enterprise Associates 17, L.P. ("NEA 17") made a pro rata distribution of 1,000,000 shares of Common Stock of the Issuer to its general partner and limited partners for no consideration on July 1, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC ("NEA 17 GP"), which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of NEA 17, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 0 |
Last balance in matching sequence
After 2026-07-01 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2026-07-01 · Other · Acquired 15,000 · Balance 15,000 F3: NEA Partners 17 received 15,000 shares of Common Stock of the Issuer in the distribution made by NEA 17 on July 1, 2026. F4: The Reporting Person is a manager of NEA 17 GP, the sole general partner of NEA Partners 17, the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 17 in which the Reporting Person has no pecuniary interest. Row 3 · 2026-07-01 · Other · Disposed 15,000 · Balance 0 F5: NEA Partners 17 made a distribution of 15,000 shares of Common Stock of the Issuer for no consideration on July 1, 2026. F4: The Reporting Person is a manager of NEA 17 GP, the sole general partner of NEA Partners 17, the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 17 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: New Enterprise Associates 17, L.P. ("NEA 17") made a pro rata distribution of 1,000,000 shares of Common Stock of the Issuer to its general partner and limited partners for no consideration on July 1, 2026.
F2: The Reporting Person is a manager of NEA 17 GP, LLC ("NEA 17 GP"), which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of NEA 17, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest.
F3: NEA Partners 17 received 15,000 shares of Common Stock of the Issuer in the distribution made by NEA 17 on July 1, 2026.
F4: The Reporting Person is a manager of NEA 17 GP, the sole general partner of NEA Partners 17, the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 17 in which the Reporting Person has no pecuniary interest.
F5: NEA Partners 17 made a distribution of 15,000 shares of Common Stock of the Issuer for no consideration on July 1, 2026.
NEVRO CORP
Report date May 21, 2018 · Filed May 23, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,390 |
Reported balance
After 2018-05-21 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-05-21 · Grant · Acquired 3,785 · Balance 5,390 F1: Constitute restricted stock units ("RSUs") for which the Reporting Person is entitled to receive one (1) share of Common Stock for each RSU upon vesting. 100% of the RSUs shall vest on the earlier of (i) one year anniversary of May 21, 2018 or (ii) the next Annual Meeting following May 21, 2018, subject to the Reporting Person's continued service to the issuer. F2: Includes 3,785 RSUs. |
Filing footnotes · ownership attribution and instrument terms
F1: Constitute restricted stock units ("RSUs") for which the Reporting Person is entitled to receive one (1) share of Common Stock for each RSU upon vesting. 100% of the RSUs shall vest on the earlier of (i) one year anniversary of May 21, 2018 or (ii) the next Annual Meeting following May 21, 2018, subject to the Reporting Person's continued service to the issuer.
F2: Includes 3,785 RSUs.
Nkarta, Inc.
Report date June 10, 2026 · Filed June 11, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.46 · Expires 2036-06-09 | Direct | 37,000 |
Reported balance
After 2026-06-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-10 · Grant · Acquired 37,000 · Balance 37,000 F1: All shares subject to the option vest 100% on the first to occur of (i) June 10, 2027 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement). |
Filing footnotes · ownership attribution and instrument terms
F1: All shares subject to the option vest 100% on the first to occur of (i) June 10, 2027 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement).
Savara Inc
Report date July 17, 2023 · Filed July 19, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 24,471,264 |
Reported balance
After 2023-07-17 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2023-07-17 · Purchase · Acquired 333,333 · Balance 24,471,264 F1: Reports the purchase of shares in the underwritten public offering of common stock of the Issuer. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"). NEA 17 is the sole member of Growth Equity Opportunities 17, LLC ("GEO 17"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO 17 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Reports the purchase of shares in the underwritten public offering of common stock of the Issuer.
F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"). NEA 17 is the sole member of Growth Equity Opportunities 17, LLC ("GEO 17"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO 17 in which the Reporting Person has no pecuniary interest.
SpyGlass Pharma, Inc.
Report date February 09, 2026 · Filed February 11, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 6,035,038 |
Last balance in matching sequence
After 2026-02-09 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 1 · 2026-02-09 · Conversion · Acquired 1,619,240 · Balance 1,619,240 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 2 · 2026-02-09 · Conversion · Acquired 1,370,168 · Balance 2,989,408 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 3 · 2026-02-09 · Conversion · Acquired 1,370,168 · Balance 4,359,576 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 4 · 2026-02-09 · Conversion · Acquired 737,962 · Balance 5,097,538 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 5 · 2026-02-09 · Purchase · Acquired 937,500 · Balance 6,035,038 F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 3 | 1,357,263 |
Last balance in matching sequence
After 2026-02-09 transaction · row 7
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 6 · 2026-02-09 · Conversion · Acquired 954,990 · Balance 954,990 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F3: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Exchange Act or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 7 · 2026-02-09 · Conversion · Acquired 402,273 · Balance 1,357,263 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F3: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Exchange Act or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2026-02-09 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2026-02-09 · Conversion · Disposed 1,619,240 · Balance 0 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2026-02-09 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2026-02-09 · Conversion · Disposed 1,370,168 · Balance 0 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series C-2 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2026-02-09 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2026-02-09 · Conversion · Disposed 1,370,168 · Balance 0 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series D Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2026-02-09 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2026-02-09 · Conversion · Disposed 737,962 · Balance 0 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 3 | 0 |
Reported balance
After 2026-02-09 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2026-02-09 · Conversion · Disposed 954,990 · Balance 0 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F3: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Exchange Act or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 3 | 0 |
Reported balance
After 2026-02-09 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2026-02-09 · Conversion · Disposed 402,273 · Balance 0 F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026. F3: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Exchange Act or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), prior to the closing of the Issuer's initial public offering of its Common Stock on February 9, 2026.
F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest.
F3: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Exchange Act or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest.
Trevi Therapeutics, Inc.
Report date December 31, 2025 · Filed February 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 12,273,280 |
Reported balance
After 2025-04-17 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2025-04-17 · Other · Acquired 1,851,852 · Balance 12,273,280 F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. |
| 3.5-Year Common Stock WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $1.37 · Expires 2025-04-18 | IndirectSee Note 1 | 0 |
Reported balance
After 2025-04-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-04-17 · Other · Disposed 1,851,852 · Balance 0 F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 948,948 |
Reported balance
Holding disclosure · report date 2025-12-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 948,948 F2: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest.
F2: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest.
X4 Pharmaceuticals, Inc
Report date June 01, 2018 · Filed July 17, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 2,000,000 |
Reported balance
Holding disclosure · report date 2018-06-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,000,000 F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
Past disclosures · reporting ended (7)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Akouos, Inc.
Report date November 30, 2022 · Filed December 02, 2022
Section 16 reporting ended · disclosed 2022-12-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 3 | 0 |
Reported balance
After 2022-11-30 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2022-11-30 · Other · Disposed 4,294,207 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for (i) $12.50 per Share, net to the stockholder in cash, without interest and less any applicable tax withholding, plus (ii) one non-tradable contingent value right ("CVR") per Share, which represents the contractual right to receive contingent payments of up to $3.00 per CVR, net to the stockholder in cash, without interest and less any applicable tax withholding, [Continued on Note 2] F2: [Continuation of Note 1] upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a Contingent Value Rights Agreement, dated as of November 30, 2022, by and among Parent, Merger Sub, Computershare Inc. and Computershare Trust Company, N.A. F3: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for (i) $12.50 per Share, net to the stockholder in cash, without interest and less any applicable tax withholding, plus (ii) one non-tradable contingent value right ("CVR") per Share, which represents the contractual right to receive contingent payments of up to $3.00 per CVR, net to the stockholder in cash, without interest and less any applicable tax withholding, [Continued on Note 2]
F2: [Continuation of Note 1] upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a Contingent Value Rights Agreement, dated as of November 30, 2022, by and among Parent, Merger Sub, Computershare Inc. and Computershare Trust Company, N.A.
F3: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest.
Arcellx, Inc.
Report date April 28, 2026 · Filed April 28, 2026
Section 16 reporting ended · disclosed 2026-04-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2026-04-28 transaction · row 1
1 source rowRow 1 · 2026-04-28 · Other · Disposed 1,925 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated February 22, 2026 (the "Merger Agreement"), by and among Arcellx, Inc. ("Company"), Gilead Sciences, Inc. ("Parent"), and Ravens Sub, Inc., a wholly owned subsidiary of Parent ("Purchaser"), the shares of common stock of Company that were tendered to Purchaser prior to the expiration time of the offer were exchanged for (x) $115.00 per share ("Closing Amount"), net to the seller in cash, without interest, subject to withholding tax, plus (y) one contractual contingent value right (a "CVR"), which represents the right to receive one contingent payment of $5.00 per CVR in cash, without interest, and subject to any withholding tax, pursuant to the terms and subject to the conditions of a contingent value rights agreement. After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into Company (the "Merger"), with Company surviving the Merger as a wholly owned subsidiary of Parent. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 0 |
Reported balance
After 2026-04-28 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2026-04-28 · Other · Disposed 2,706 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated February 22, 2026 (the "Merger Agreement"), by and among Arcellx, Inc. ("Company"), Gilead Sciences, Inc. ("Parent"), and Ravens Sub, Inc., a wholly owned subsidiary of Parent ("Purchaser"), the shares of common stock of Company that were tendered to Purchaser prior to the expiration time of the offer were exchanged for (x) $115.00 per share ("Closing Amount"), net to the seller in cash, without interest, subject to withholding tax, plus (y) one contractual contingent value right (a "CVR"), which represents the right to receive one contingent payment of $5.00 per CVR in cash, without interest, and subject to any withholding tax, pursuant to the terms and subject to the conditions of a contingent value rights agreement. After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into Company (the "Merger"), with Company surviving the Merger as a wholly owned subsidiary of Parent. F2: The Reporting Person is a trustee of the Ali Behbahani Revocable Trust Dated June 26, 2015 (the "Behbahani Trust"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, or otherwise of such portion of the securities held by the Behbahani Trust in which the Reporting Person has no pecuniary interest. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $37.94 · Expires 2033-06-14 | Direct | 0 |
Reported balance
After 2026-04-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-04-28 · Disposition to issuer · Disposed 11,459 · Balance 0 F3: Pursuant to the Merger Agreement, each outstanding option to purchase shares of Common Stock (a "Company Option"), whether or not vested, and which had a per share exercise price that was less than the Closing Amount, was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the excess (if any) of (a) the Closing Amount over (b) the per share exercise price subject to such Company Option, multiplied by (y) the total number of shares subject to such Company Option immediately prior to the effective time of the Merger, and (ii) one (1) CVR for each share subject to such Company Option immediately prior to the effective time of the Merger. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $51.30 · Expires 2034-05-28 | Direct | 0 |
Reported balance
After 2026-04-28 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-04-28 · Disposition to issuer · Disposed 8,011 · Balance 0 F3: Pursuant to the Merger Agreement, each outstanding option to purchase shares of Common Stock (a "Company Option"), whether or not vested, and which had a per share exercise price that was less than the Closing Amount, was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the excess (if any) of (a) the Closing Amount over (b) the per share exercise price subject to such Company Option, multiplied by (y) the total number of shares subject to such Company Option immediately prior to the effective time of the Merger, and (ii) one (1) CVR for each share subject to such Company Option immediately prior to the effective time of the Merger. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $63.68 · Expires 2035-05-29 | Direct | 0 |
Reported balance
After 2026-04-28 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-04-28 · Disposition to issuer · Disposed 9,174 · Balance 0 F3: Pursuant to the Merger Agreement, each outstanding option to purchase shares of Common Stock (a "Company Option"), whether or not vested, and which had a per share exercise price that was less than the Closing Amount, was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the excess (if any) of (a) the Closing Amount over (b) the per share exercise price subject to such Company Option, multiplied by (y) the total number of shares subject to such Company Option immediately prior to the effective time of the Merger, and (ii) one (1) CVR for each share subject to such Company Option immediately prior to the effective time of the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger, dated February 22, 2026 (the "Merger Agreement"), by and among Arcellx, Inc. ("Company"), Gilead Sciences, Inc. ("Parent"), and Ravens Sub, Inc., a wholly owned subsidiary of Parent ("Purchaser"), the shares of common stock of Company that were tendered to Purchaser prior to the expiration time of the offer were exchanged for (x) $115.00 per share ("Closing Amount"), net to the seller in cash, without interest, subject to withholding tax, plus (y) one contractual contingent value right (a "CVR"), which represents the right to receive one contingent payment of $5.00 per CVR in cash, without interest, and subject to any withholding tax, pursuant to the terms and subject to the conditions of a contingent value rights agreement. After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into Company (the "Merger"), with Company surviving the Merger as a wholly owned subsidiary of Parent.
F2: The Reporting Person is a trustee of the Ali Behbahani Revocable Trust Dated June 26, 2015 (the "Behbahani Trust"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, or otherwise of such portion of the securities held by the Behbahani Trust in which the Reporting Person has no pecuniary interest.
F3: Pursuant to the Merger Agreement, each outstanding option to purchase shares of Common Stock (a "Company Option"), whether or not vested, and which had a per share exercise price that was less than the Closing Amount, was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the excess (if any) of (a) the Closing Amount over (b) the per share exercise price subject to such Company Option, multiplied by (y) the total number of shares subject to such Company Option immediately prior to the effective time of the Merger, and (ii) one (1) CVR for each share subject to such Company Option immediately prior to the effective time of the Merger.
Metacrine, Inc.
Report date December 10, 2021 · Filed December 27, 2021
Section 16 reporting ended · disclosed 2021-12-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 2,563,257 |
Last balance in matching sequence
After 2021-12-22 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2021-12-10 · Sale · Disposed 37,570 · Balance 3,022,957 F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. Row 2 · 2021-12-22 · Sale · Disposed 288,768 · Balance 2,734,189 F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. Row 3 · 2021-12-22 · Sale · Disposed 170,932 · Balance 2,563,257 F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest.
Mirum Pharmaceuticals, Inc.
Report date June 13, 2023 · Filed June 15, 2023
Section 16 reporting ended · disclosed 2023-06-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 2,186,243 |
Reported balance
After 2023-06-13 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2023-06-13 · Other · Disposed 2,000,000 · Balance 2,186,243 F1: New Enterprise Associates 16, L.P. ("NEA 16") made a pro rata distribution of 2,000,000 shares of Common Stock of the Issuer to its general partner and limited partners for no consideration on June 13, 2023. F2: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of NEA 16, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 0 |
Last balance in matching sequence
After 2023-06-13 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2023-06-13 · Other · Acquired 30,000 · Balance 30,000 F3: NEA Partners 16 received 30,000 shares of Common Stock of the Issuer in the distribution made by NEA 16 on June 13, 2023. F4: The Reporting Person is a manager of NEA 16 GP, which is the sole general partner of NEA Partners 16, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 16 in which the Reporting Person has no pecuniary interest. Row 3 · 2023-06-13 · Other · Disposed 30,000 · Balance 0 F5: NEA Partners 16 made a pro rata distribution for no consideration of an aggregate of 30,000 shares of Common Stock of the Issuer to its limited partners on June 13, 2023. F4: The Reporting Person is a manager of NEA 16 GP, which is the sole general partner of NEA Partners 16, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 16 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 7 | 135 |
Reported balance
After 2023-06-13 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2023-06-13 · Other · Acquired 135 · Balance 135 F6: The Reporting Person, as Trustee of the Ali Behbahani Revocable Trust Dated June 26, 2015 (the "Behbahani Revocable Trust"), received 135 shares of Common Stock of the Issuer in the distribution made by NEA Partners 16 on June 13, 2023. F7: The securities are held directly by the Behbahani Revocable Trust. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by the Behbahani Revocable Trust in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: New Enterprise Associates 16, L.P. ("NEA 16") made a pro rata distribution of 2,000,000 shares of Common Stock of the Issuer to its general partner and limited partners for no consideration on June 13, 2023.
F2: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of NEA 16, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest.
F3: NEA Partners 16 received 30,000 shares of Common Stock of the Issuer in the distribution made by NEA 16 on June 13, 2023.
F4: The Reporting Person is a manager of NEA 16 GP, which is the sole general partner of NEA Partners 16, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 16 in which the Reporting Person has no pecuniary interest.
F5: NEA Partners 16 made a pro rata distribution for no consideration of an aggregate of 30,000 shares of Common Stock of the Issuer to its limited partners on June 13, 2023.
F6: The Reporting Person, as Trustee of the Ali Behbahani Revocable Trust Dated June 26, 2015 (the "Behbahani Revocable Trust"), received 135 shares of Common Stock of the Issuer in the distribution made by NEA Partners 16 on June 13, 2023.
F7: The securities are held directly by the Behbahani Revocable Trust. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by the Behbahani Revocable Trust in which the Reporting Person has no pecuniary interest.
NeueHealth, Inc.
Report date October 02, 2025 · Filed October 06, 2025
Section 16 reporting ended · disclosed 2025-10-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 0 |
Last balance in matching sequence
After 2025-10-02 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 1 · 2025-10-02 · Other · Acquired 189,195 · Balance 788,259 F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 2 · 2025-10-02 · Sale · Disposed 280 · Balance 787,979 F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025. F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 3 · 2025-10-02 · Exercise / conversion · Acquired 372,255 · Balance 1,160,234 F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 4 · 2025-10-02 · Tax withholding · Disposed 551 · Balance 1,159,683 F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025. F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 5 · 2025-10-02 · Disposition to issuer · Disposed 1,159,683 · Balance 0 F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 0 |
Last balance in matching sequence
After 2025-10-02 transaction · row 10
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 6 · 2025-10-02 · Other · Acquired 189,195 · Balance 488,982 F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 7 · 2025-10-02 · Sale · Disposed 280 · Balance 488,702 F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025. F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 8 · 2025-10-02 · Exercise / conversion · Acquired 186,128 · Balance 674,830 F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 9 · 2025-10-02 · Tax withholding · Disposed 276 · Balance 674,554 F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025. F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 10 · 2025-10-02 · Disposition to issuer · Disposed 674,554 · Balance 0 F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 5 | 0 |
Last balance in matching sequence
After 2025-10-02 transaction · row 17
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
7 source rowsRow 11 · 2025-10-02 · Other · Acquired 1,656,789 · Balance 1,656,789 F5: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Row 12 · 2025-10-02 · Sale · Disposed 2,455 · Balance 1,654,334 F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025. F5: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Row 13 · 2025-10-02 · Other · Acquired 607,536 · Balance 2,261,870 F5: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Row 14 · 2025-10-02 · Sale · Disposed 900 · Balance 2,260,970 F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025. F5: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Row 15 · 2025-10-02 · Exercise / conversion · Acquired 124,085 · Balance 2,385,055 F5: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Row 16 · 2025-10-02 · Tax withholding · Disposed 182 · Balance 2,384,873 F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025. F5: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Row 17 · 2025-10-02 · Disposition to issuer · Disposed 2,384,873 · Balance 0 F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. F5: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Note 1 | 0 |
Reported balance
After 2025-10-02 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2025-10-02 · Other · Disposed 189,195 · Balance 0 F6: The warrants became exercisable as to 123,729 shares on April 30, 2024, 1,733 shares on June 21, 2024, 61,865 shares on October 2, 2024 and 1,868 shares on September 26, 2025. F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2030-10-02 | IndirectSee Note 1 | 372,255 |
Reported balance
After 2025-10-02 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2025-10-02 · Grant · Acquired 372,255 · Balance 372,255 F7: Warrants issued pursuant to the Warrantholders Agreement, dated September 30, 2025 between the Issuer and the holders listed on Schedule 1 thereto, and the Credit Agreement, dated August 4, 2023, as amended by that certain Incremental Amendment No. 1, dated as of October 2, 2023, that certain Incremental Amendment No. 2, dated as of April 8, 2024, that certain Amendment No. 3, dated as of June 21, 2024, that certain Amendment No. 4, dated as of October 29, 2024, and that certain Amendment No. 5, dated as of September 30, 2025, between the Issuer and the lenders thereto. F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Note 1 | 0 |
Reported balance
After 2025-10-02 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2025-10-02 · Exercise / conversion · Disposed 372,255 · Balance 0 F8: The warrants became fully exercisable on October 2, 2025. F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Note 4 | 0 |
Reported balance
After 2025-10-02 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2025-10-02 · Other · Disposed 189,195 · Balance 0 F6: The warrants became exercisable as to 123,729 shares on April 30, 2024, 1,733 shares on June 21, 2024, 61,865 shares on October 2, 2024 and 1,868 shares on September 26, 2025. F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2030-10-02 | IndirectSee Note 4 | 186,128 |
Reported balance
After 2025-10-02 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2025-10-02 · Grant · Acquired 186,128 · Balance 186,128 F7: Warrants issued pursuant to the Warrantholders Agreement, dated September 30, 2025 between the Issuer and the holders listed on Schedule 1 thereto, and the Credit Agreement, dated August 4, 2023, as amended by that certain Incremental Amendment No. 1, dated as of October 2, 2023, that certain Incremental Amendment No. 2, dated as of April 8, 2024, that certain Amendment No. 3, dated as of June 21, 2024, that certain Amendment No. 4, dated as of October 29, 2024, and that certain Amendment No. 5, dated as of September 30, 2025, between the Issuer and the lenders thereto. F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Note 4 | 0 |
Reported balance
After 2025-10-02 transaction · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · 2025-10-02 · Exercise / conversion · Disposed 186,128 · Balance 0 F8: The warrants became fully exercisable on October 2, 2025. F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series A Convertible Perpetual Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 4 | 0 |
Reported balance
After 2025-10-02 transaction · row 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · 2025-10-02 · Disposition to issuer · Disposed 75,000 · Balance 0 F9: The Series A Preferred Stock was convertible into the number of shares of the Issuer's Common Stock equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 per share) plus (ii) the accrued dividends thereon as of the conversion date, divided by (b) the conversion price (initially approximately $4.55 per share) as of the conversion date, subject to anti-dilution adjustments. The Series A Preferred Stock was convertible at any time and had no expiration date, subject to the Issuer's election to convert or redeem all of the Series A Preferred Stock upon the occurrence of certain conditions. F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series B Convertible Perpetual Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 4 | 0 |
Reported balance
After 2025-10-02 transaction · row 25
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 25 · 2025-10-02 · Disposition to issuer · Disposed 37,700 · Balance 0 F10: The Series B Preferred Stock was convertible into the number of shares of the Issuer's Common Stock equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 per share) plus (ii) the accrued dividends thereon as of the conversion date, divided by (b) the conversion price (initially approximately $1.4169 per share) as of the conversion date, subject to anti-dilution adjustments. The Series B Preferred Stock was convertible at any time and had no expiration date, subject to the Issuer's election to convert or redeem all of the Series B Preferred Stock upon the occurrence of certain conditions. F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Note 5 | 0 |
Reported balance
After 2025-10-02 transaction · row 26
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 26 · 2025-10-02 · Other · Disposed 1,656,789 · Balance 0 F11: The warrants became exercisable as to 828,395 shares on August 29, 2023, 552,263 shares on September 18, 2023, 100,606 shares on November 1, 2023 and 175,525 shares on December 20, 2023. F5: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Note 5 | 0 |
Reported balance
After 2025-10-02 transaction · row 27
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 27 · 2025-10-02 · Other · Disposed 607,536 · Balance 0 F12: The warrants became exercisable as to 371,187 shares on April 30, 2024, 28,399 shares on June 21, 2024, 185,595 shares on October 2, 2024 and 22,355 shares on September 26, 2025. F5: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2030-10-02 | IndirectSee Note 5 | 124,085 |
Reported balance
After 2025-10-02 transaction · row 28
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 28 · 2025-10-02 · Grant · Acquired 124,085 · Balance 124,085 F7: Warrants issued pursuant to the Warrantholders Agreement, dated September 30, 2025 between the Issuer and the holders listed on Schedule 1 thereto, and the Credit Agreement, dated August 4, 2023, as amended by that certain Incremental Amendment No. 1, dated as of October 2, 2023, that certain Incremental Amendment No. 2, dated as of April 8, 2024, that certain Amendment No. 3, dated as of June 21, 2024, that certain Amendment No. 4, dated as of October 29, 2024, and that certain Amendment No. 5, dated as of September 30, 2025, between the Issuer and the lenders thereto. F5: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Note 5 | 0 |
Reported balance
After 2025-10-02 transaction · row 29
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 29 · 2025-10-02 · Exercise / conversion · Disposed 124,085 · Balance 0 F8: The warrants became fully exercisable on October 2, 2025. F5: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. |
| Series A Convertible Perpetual Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 5 | 0 |
Reported balance
After 2025-10-02 transaction · row 30
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 30 · 2025-10-02 · Disposition to issuer · Disposed 125,000 · Balance 0 F9: The Series A Preferred Stock was convertible into the number of shares of the Issuer's Common Stock equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 per share) plus (ii) the accrued dividends thereon as of the conversion date, divided by (b) the conversion price (initially approximately $4.55 per share) as of the conversion date, subject to anti-dilution adjustments. The Series A Preferred Stock was convertible at any time and had no expiration date, subject to the Issuer's election to convert or redeem all of the Series A Preferred Stock upon the occurrence of certain conditions. F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. F5: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. |
| Series B Convertible Perpetual Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 5 | 0 |
Reported balance
After 2025-10-02 transaction · row 31
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 31 · 2025-10-02 · Disposition to issuer · Disposed 100,000 · Balance 0 F10: The Series B Preferred Stock was convertible into the number of shares of the Issuer's Common Stock equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 per share) plus (ii) the accrued dividends thereon as of the conversion date, divided by (b) the conversion price (initially approximately $1.4169 per share) as of the conversion date, subject to anti-dilution adjustments. The Series B Preferred Stock was convertible at any time and had no expiration date, subject to the Issuer's election to convert or redeem all of the Series B Preferred Stock upon the occurrence of certain conditions. F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist. F5: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest.
F2: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $6.75 per share, the closing market price of the Issuer's common stock on October 1, 2025.
F3: Pursuant to the Agreement and Plan of Merger, dated as of December 23, 2024, by and among the Issuer, NH Holdings 2025, Inc. ("Parent") and NH Holdings Acquisition 2025, Inc. ("Merger Sub"), on October 2, 2025, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Pursuant to rollover agreements entered into between certain of the Reporting Persons and NH Holdings 2025 SPV, L.P. ("Ultimate Parent"), Parent and Merger Sub, each share of the Issuer's Common Stock, Series A Convertible Perpetual Preferred Stock ("Series A Preferred Stock") and Series B Convertible Perpetual Preferred Stock ("Series B Preferred Stock") beneficially owned by the Reporting Persons was contributed to Ultimate Parent in exchange for limited partnership interests in Ultimate Parent. Each such share of the Issuer's Common Stock, Series A Preferred Stock and Series B Preferred Stock was then cancelled and ceased to exist.
F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest.
F5: The Reporting Person is a manager of NEA 18 VGE GP, LLC, which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest.
F6: The warrants became exercisable as to 123,729 shares on April 30, 2024, 1,733 shares on June 21, 2024, 61,865 shares on October 2, 2024 and 1,868 shares on September 26, 2025.
F7: Warrants issued pursuant to the Warrantholders Agreement, dated September 30, 2025 between the Issuer and the holders listed on Schedule 1 thereto, and the Credit Agreement, dated August 4, 2023, as amended by that certain Incremental Amendment No. 1, dated as of October 2, 2023, that certain Incremental Amendment No. 2, dated as of April 8, 2024, that certain Amendment No. 3, dated as of June 21, 2024, that certain Amendment No. 4, dated as of October 29, 2024, and that certain Amendment No. 5, dated as of September 30, 2025, between the Issuer and the lenders thereto.
F8: The warrants became fully exercisable on October 2, 2025.
F9: The Series A Preferred Stock was convertible into the number of shares of the Issuer's Common Stock equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 per share) plus (ii) the accrued dividends thereon as of the conversion date, divided by (b) the conversion price (initially approximately $4.55 per share) as of the conversion date, subject to anti-dilution adjustments. The Series A Preferred Stock was convertible at any time and had no expiration date, subject to the Issuer's election to convert or redeem all of the Series A Preferred Stock upon the occurrence of certain conditions.
F10: The Series B Preferred Stock was convertible into the number of shares of the Issuer's Common Stock equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 per share) plus (ii) the accrued dividends thereon as of the conversion date, divided by (b) the conversion price (initially approximately $1.4169 per share) as of the conversion date, subject to anti-dilution adjustments. The Series B Preferred Stock was convertible at any time and had no expiration date, subject to the Issuer's election to convert or redeem all of the Series B Preferred Stock upon the occurrence of certain conditions.
F11: The warrants became exercisable as to 828,395 shares on August 29, 2023, 552,263 shares on September 18, 2023, 100,606 shares on November 1, 2023 and 175,525 shares on December 20, 2023.
F12: The warrants became exercisable as to 371,187 shares on April 30, 2024, 28,399 shares on June 21, 2024, 185,595 shares on October 2, 2024 and 22,355 shares on September 26, 2025.
Oyster Point Pharma, Inc.
Report date January 03, 2023 · Filed January 04, 2023
Section 16 reporting ended · disclosed 2023-01-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2023-01-03 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-01-03 · Disposition to issuer · Disposed 10,066 · Balance 3,573 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated November 7, 2022, among the Issuer, Iris Purchaser Inc. ("Purchaser"), a wholly owned subsidiary of Viatris, Inc. ("Viatris"), and Viatris, Purchaser commenced a tender offer (the "Offer") to purchase all the outstanding common stock of the Issuer for the Per Share Price (as defined below). On January 3, 2023, the Offer consummated, after which Purchaser merged with and into the Issuer with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Viatris (the "Merger"). At the consummation of the Offer and the Merger, respectively, (i) Purchaser purchased all shares of Issuer's common stock that were validly tendered pursuant to the Offer for a cash payment equal to the Per Share Price and (ii) each share of the Issuer's common stock that was issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time")(continued in Footnote 2) F2: (other than shares that were held (a) by the Issuer (including any treasury shares) or by Viatris or Purchaser or any other direct or indirect wholly owned subsidiary of Viatris or (b) by stockholders of the Issuer who had properly exercised and perfected, and not withdrawn or otherwise lost, their appraisal rights under the Delaware General Corporate Law) was cancelled and converted into the right to receive (a) a cash payment of $11.00 per share (the "Cash Amount") and (b) one non-transferable contractual contingent value right representing the right to receive any applicable milestone payment if specified milestones are achieved (the "Milestone Payment" and together with the Cash Amount, the "Per Share Price") pursuant to a Contingent Value Rights Agreement, dated January 3, 2023, by and between Viatris and American Stock Transfer & Trust Company, LLC as Rights Agent. Row 2 · 2023-01-03 · Disposition to issuer · Disposed 3,573 · Balance 0 F3: This line item represents restricted stock units held by the Reporting Person. Upon the Merger, which constituted a "change of control" under the Issuer's Outside Director Compensation Policy, vesting of the Reporting Person's outstanding unvested restricted stock units was accelerated and each restricted stock unit was canceled in exchange for a cash payment equal to the Per Share Price less applicable tax withholdings. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.63 · Expires 2032-06-05 | Direct | 0 |
Reported balance
After 2023-01-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-01-03 · Disposition to issuer · Disposed 5,359 · Balance 0 F4: This line item represents stock options held by the Reporting Person. Upon the Merger, which constituted a "change of control" under the Issuer's Outside Director Compensation Policy, vesting of the Reporting Person's outstanding unvested stock options were accelerated, each such stock option became immediately exercisable and was canceled in exchange for a cash payment equal to the excess, if any, of the Per Share Price over the exercise price applicable to such stock option, less applicable tax withholdings. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.74 · Expires 2031-06-06 | Direct | 0 |
Reported balance
After 2023-01-03 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-01-03 · Disposition to issuer · Disposed 5,199 · Balance 0 F5: Each vested option that has an exercise price per share that is equal to or greater than the Per Share Price will be canceled for no consideration. F4: This line item represents stock options held by the Reporting Person. Upon the Merger, which constituted a "change of control" under the Issuer's Outside Director Compensation Policy, vesting of the Reporting Person's outstanding unvested stock options were accelerated, each such stock option became immediately exercisable and was canceled in exchange for a cash payment equal to the excess, if any, of the Per Share Price over the exercise price applicable to such stock option, less applicable tax withholdings. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated November 7, 2022, among the Issuer, Iris Purchaser Inc. ("Purchaser"), a wholly owned subsidiary of Viatris, Inc. ("Viatris"), and Viatris, Purchaser commenced a tender offer (the "Offer") to purchase all the outstanding common stock of the Issuer for the Per Share Price (as defined below). On January 3, 2023, the Offer consummated, after which Purchaser merged with and into the Issuer with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Viatris (the "Merger"). At the consummation of the Offer and the Merger, respectively, (i) Purchaser purchased all shares of Issuer's common stock that were validly tendered pursuant to the Offer for a cash payment equal to the Per Share Price and (ii) each share of the Issuer's common stock that was issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time")(continued in Footnote 2)
F2: (other than shares that were held (a) by the Issuer (including any treasury shares) or by Viatris or Purchaser or any other direct or indirect wholly owned subsidiary of Viatris or (b) by stockholders of the Issuer who had properly exercised and perfected, and not withdrawn or otherwise lost, their appraisal rights under the Delaware General Corporate Law) was cancelled and converted into the right to receive (a) a cash payment of $11.00 per share (the "Cash Amount") and (b) one non-transferable contractual contingent value right representing the right to receive any applicable milestone payment if specified milestones are achieved (the "Milestone Payment" and together with the Cash Amount, the "Per Share Price") pursuant to a Contingent Value Rights Agreement, dated January 3, 2023, by and between Viatris and American Stock Transfer & Trust Company, LLC as Rights Agent.
F3: This line item represents restricted stock units held by the Reporting Person. Upon the Merger, which constituted a "change of control" under the Issuer's Outside Director Compensation Policy, vesting of the Reporting Person's outstanding unvested restricted stock units was accelerated and each restricted stock unit was canceled in exchange for a cash payment equal to the Per Share Price less applicable tax withholdings.
F4: This line item represents stock options held by the Reporting Person. Upon the Merger, which constituted a "change of control" under the Issuer's Outside Director Compensation Policy, vesting of the Reporting Person's outstanding unvested stock options were accelerated, each such stock option became immediately exercisable and was canceled in exchange for a cash payment equal to the excess, if any, of the Per Share Price over the exercise price applicable to such stock option, less applicable tax withholdings.
F5: Each vested option that has an exercise price per share that is equal to or greater than the Per Share Price will be canceled for no consideration.
Regulus Therapeutics Inc.
Report date March 09, 2021 · Filed March 16, 2021
Section 16 reporting ended · disclosed 2021-03-16. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 17, 2022 Filed Jun 17, 2022 20:35 UTC | Black Diamond Therapeutics, Inc. BDTX · Entity 6669 | GrantCommon Stock | 5,850 | $2.03 | $11,875.50 |
DisclosureSEC source: 0001209191-22-037904 · doc4.xml · nonDerivative · entry 1 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,555 F1 · kind: These shares were issued in accordance with the Issuer's Third Amended and Restated Non-Employee Director Compensation Policy, pursuant to which the Reporting Person elected to receive shares of the Issuer's common stock in lieu of cash compensation for annual services as a non-employee director of the Issuer. F2 · price: The price reported in Column 4 is based upon the closing market price of the Issuer's common stock on June 16, 2022. Read SEC document |
| June 15, 2022 Filed Jun 16, 2022 21:29 UTC | Monte Rosa Therapeutics, Inc. GLUE · Entity 4828 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $7.66 | $0.00 |
DisclosureSEC source: 0001209191-22-037527 · doc4.xml · derivative · entry 1 Behbahani Ali · CIK 0001613867 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2032-06-14 F1 · derivative.exercise_date: The shares subject to this option shall vest and become excercisable in full upon the earlier to occur of (i) June 15, 2023 or (ii) the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continued service at such time. Read SEC document |
| June 10, 2022 Filed Jun 13, 2022 23:08 UTC | Black Diamond Therapeutics, Inc. BDTX · Entity 6669 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $2.14 | $0.00 |
DisclosureSEC source: 0001209191-22-036465 · doc4.xml · derivative · entry 1 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2032-06-09 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable in full upon the earlier to occur of (i) June 7, 2023 or (ii) the Issuer's next annual meeting of stockholders. Read SEC document |
| June 10, 2022 Filed Jun 14, 2022 16:08 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | GrantCommon Stock | 49,792 | $2.41 | $119,998.72 |
DisclosureSEC source: 0001209191-22-036638 · doc4.xml · nonDerivative · entry 1 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,279 F1 · shares: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. Each RSU award will vest in four equal quarterly installments on the quarterly anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date. F1 · balance_after: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock. Each RSU award will vest in four equal quarterly installments on the quarterly anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| June 09, 2022 Filed Jun 10, 2022 21:46 UTC | CRISPR Therapeutics AG CRSP · Entity 3852 | GrantStock Option (Right to Buy) · Derivative | 12,000 | $0.00 Strike: $71.70 | $0.00 |
DisclosureSEC source: 0001209191-22-036055 · doc4.xml · derivative · entry 1 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Shares · 12,000 shares Expires 2032-06-09 F1 · derivative.exercise_date: This option was granted on June 9, 2022 with respect to 12,000 Common Shares with 100% of the shares vesting in 12 equal monthly installments beginning on June 30, 2022; provided that the last installment will vest on the earlier of (i) the one year anniversary of the date of grant or (ii) the date of the 2023 Annual General Meeting of Shareholders. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 20:31 UTC | Nkarta, Inc. NKTK · Entity 6346 | GrantStock Option (right to buy) · Derivative | 16,000 | $0.00 Strike: $14.95 | $0.00 |
DisclosureSEC source: 0001209191-22-035916 · doc4.xml · derivative · entry 1 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2032-06-07 F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first to occur of (i) June 8, 2023 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement). Read SEC document |
| June 07, 2022 Filed Jun 9, 2022 21:16 UTC | CVRx, Inc. CVRX · Entity 6920 | GrantStock Option (right to buy) · Derivative | 26,985 | $0.00 Strike: $6.76 | $0.00 |
DisclosureSEC source: 0001209191-22-035472 · doc4.xml · derivative · entry 1 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,985 Underlying: Common Stock · 26,985 shares Expires 2032-06-06 F1 · derivative.exercise_date: Vests on the earlier of June 7, 2023 or the Issuer's 2023 annual meeting of stockholders. Read SEC document |
| June 06, 2022 Filed Jun 8, 2022 20:49 UTC | Oyster Point Pharma, Inc. OYST · Entity 15903 | GrantStock Option (Right to Buy) · Derivative | 5,359 | $0.00 Strike: $3.63 | $0.00 |
DisclosureSEC source: 0001209191-22-035068 · doc4.xml · derivative · entry 2 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,359 Underlying: Common Stock · 5,359 shares Expires 2032-06-05 F3 · derivative.exercise_date: The shares underlying the option vest as to one-twelfth (1/12th) of the shares on July 6, 2022 and monthly thereafter on the same day of the month as the grant date, in each case, subject to the Reporting Person's continuous service to the Issuer as a director through each such date. Read SEC document |
| June 06, 2022 Filed Jun 8, 2022 20:49 UTC | Oyster Point Pharma, Inc. OYST · Entity 15903 | GrantCommon Stock | 3,573 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-035068 · doc4.xml · nonDerivative · entry 1 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,639 F1 · kind: Represents a grant of Restricted Stock Units (the "RSUs"). Each RSU represents a contingent right to receive one share of Common Stock of the Issuer. F2 · shares: The shares underlying each RSU will vest on June 6, 2023, but will vest fully on the date of the next annual stockholder meeting held after the date of the grant if not fully vested on such date, in each case, subject to the Reporting Person's continuous service to the issue as a director through each such date. Read SEC document |
| May 25, 2022 Filed May 26, 2022 18:19 UTC | GENOCEA BIOSCIENCES, INC. GNCA · Entity 12635 | SaleCommon Stock | 4,445,093 | $0.08 | $362,719.59 |
DisclosureSEC source: 0001209191-22-032320 · doc4.xml · nonDerivative · entry 2 Behbahani Ali · CIK 0001613867 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 0 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.0675 to $0.0980, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 24, 2022 Filed May 26, 2022 18:19 UTC | GENOCEA BIOSCIENCES, INC. GNCA · Entity 12635 | SaleCommon Stock | 5,931,843 | $0.07 | $387,942.53 |
DisclosureSEC source: 0001209191-22-032320 · doc4.xml · nonDerivative · entry 1 Behbahani Ali · CIK 0001613867 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 4,445,093 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.060 to $0.0746, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| April 11, 2022 Filed Apr 13, 2022 21:10 UTC | Trevi Therapeutics, Inc. TRVI · Entity 4387 | PurchasePre-Funded Warrants · Derivative | 3,000,000 | $1.90 Strike: $0.00 | $5,697,000.00 |
DisclosureSEC source: 0001209191-22-024314 · doc4.xml · derivative · entry 3 Behbahani Ali · CIK 0001613867 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 3 Disclosed balance after: 3,000,000 Underlying: Common Stock · 3,000,000 shares Expires not disclosed F1 · kind: Acquired from the Issuer on April 11, 2022 pursuant to a Securities Purchase Agreement dated April 6, 2022. F4 · derivative.exercise_date: The Pre-Funded Warrants are exercisable immediately and will be exercisable until exercised in full. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 9.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise, which percentage may be increased or decreased at the holder's election upon 61 days' notice to the Issuer, not to exceed 19.99%. F4 · derivative.expiration_date: The Pre-Funded Warrants are exercisable immediately and will be exercisable until exercised in full. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 9.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise, which percentage may be increased or decreased at the holder's election upon 61 days' notice to the Issuer, not to exceed 19.99%. F3 · ownership.nature: The Reporting Person is a manager of NEA 18 VG GP, LLC, which is the sole general partner of NEA Partners 18 VG, L.P. ("NEA Partners 18 VG"). NEA Partners 18 VG is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Read SEC document |
| April 11, 2022 Filed Apr 13, 2022 21:10 UTC | Trevi Therapeutics, Inc. TRVI · Entity 4387 | PurchaseCommon Stock | 948,948 | $1.90 | $1,803,001.20 |
DisclosureSEC source: 0001209191-22-024314 · doc4.xml · nonDerivative · entry 2 Behbahani Ali · CIK 0001613867 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 3 Disclosed balance after: 948,948 F1 · kind: Acquired from the Issuer on April 11, 2022 pursuant to a Securities Purchase Agreement dated April 6, 2022. F3 · ownership.nature: The Reporting Person is a manager of NEA 18 VG GP, LLC, which is the sole general partner of NEA Partners 18 VG, L.P. ("NEA Partners 18 VG"). NEA Partners 18 VG is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Read SEC document |
| April 11, 2022 Filed Apr 13, 2022 21:10 UTC | Trevi Therapeutics, Inc. TRVI · Entity 4387 | PurchaseCommon Stock | 2,631,578 | $1.90 | $4,999,998.20 |
DisclosureSEC source: 0001209191-22-024314 · doc4.xml · nonDerivative · entry 1 Behbahani Ali · CIK 0001613867 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 10,421,428 F1 · kind: Acquired from the Issuer on April 11, 2022 pursuant to a Securities Purchase Agreement dated April 6, 2022. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. Read SEC document |
| March 18, 2022 Filed Mar 18, 2022 20:15 UTC | Black Diamond Therapeutics, Inc. BDTX · Entity 6669 | GrantCommon Stock | 4,346 | $3.02 | $13,124.92 |
DisclosureSEC source: 0001209191-22-020012 · doc4.xml · nonDerivative · entry 1 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,705 F1 · kind: These shares were issued in accordance with the Issuer's Second Amended and Restated Non-Employee Director Compensation Policy, pursuant to which the Reporting Person elected to receive shares of the Issuer's common stock in lieu of cash compensation for annual services as a non-employee director of the Issuer. F2 · price: The price reported in Column 4 is based upon the closing market price of the Issuer's common stock on March 17, 2022. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 22:58 UTC | NeueHealth, Inc. BHG · Entity 74308 | PurchaseSeries A Convertible Perpetual Preferred Stock · Derivative | 125,000 | $1,000.00 | $125,000,000.00 |
DisclosureSEC source: 0001209191-22-001901 · doc4.xml · derivative · entry 2 Behbahani Ali · CIK 0001613867 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 5 Disclosed balance after: 125,000 Underlying: Common Stock · 27,481,137 shares Expires not disclosed F1 · derivative.exercise_price: The Issuer's Series A Convertible Perpetual Preferred Stock ("Preferred Stock") is convertible at the option of the holder (subject to the expiration or early termination of the applicable waiting period, if any, under the HSR Act) into the number of shares of Issuer's common stock ("Common Stock") equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 plus increases for compounded dividends) plus (ii) the accrued dividends with respect to each share of Preferred Stock as of the applicable conversion date divided by (b) the conversion price (initially approximately $4.55) as of the applicable conversion date, subject to anti-dilution adjustments. F1 · price: The Issuer's Series A Convertible Perpetual Preferred Stock ("Preferred Stock") is convertible at the option of the holder (subject to the expiration or early termination of the applicable waiting period, if any, under the HSR Act) into the number of shares of Issuer's common stock ("Common Stock") equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 plus increases for compounded dividends) plus (ii) the accrued dividends with respect to each share of Preferred Stock as of the applicable conversion date divided by (b) the conversion price (initially approximately $4.55) as of the applicable conversion date, subject to anti-dilution adjustments. F1 · derivative.exercise_date: The Issuer's Series A Convertible Perpetual Preferred Stock ("Preferred Stock") is convertible at the option of the holder (subject to the expiration or early termination of the applicable waiting period, if any, under the HSR Act) into the number of shares of Issuer's common stock ("Common Stock") equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 plus increases for compounded dividends) plus (ii) the accrued dividends with respect to each share of Preferred Stock as of the applicable conversion date divided by (b) the conversion price (initially approximately $4.55) as of the applicable conversion date, subject to anti-dilution adjustments. F2 · derivative.expiration_date: The Preferred Stock has no expiration date. At any time after the third anniversary of the original issuance date, if the closing price per share of Common Stock is greater than 175% of the then-applicable conversion price (initially $7.96) for (x) at least 20 in any period of 30 consecutive trading days and (y) the last trading day immediately before the Issuer provides notice of its election to convert, the Issuer may elect to convert all of the Preferred Stock into the relevant number of shares of Common Stock. [Continued on Note 3] F3 · derivative.expiration_date: [Continuation of Note 2] At any time following the fifth anniversary of the original issuance date, the Issuer may redeem all of the Preferred Stock for a per share amount in cash equal to: (i) the sum of (A) the liquidation preference (reflecting increases for compounded dividends) thereof plus (B) all accrued dividends as of the applicable redemption date, multiplied by (ii) (A) 105% if the redemption occurs at any time prior to the seventh anniversary of the original issuance date and (B) 100% if the redemption occurs at any time on or after the seventh anniversary of the original issuance date. F5 · ownership.nature: The Reporting Person is a manager of NEA 18 VGE GP, LLC ("NEA 18 VGE GP"), which is the sole general partner of NEA Partners 18 VGE, L.P. ("NEA Partners 18 VGE"). NEA Partners 18 VGE is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 22:58 UTC | NeueHealth, Inc. BHG · Entity 74308 | PurchaseSeries A Convertible Perpetual Preferred Stock · Derivative | 75,000 | $1,000.00 | $75,000,000.00 |
DisclosureSEC source: 0001209191-22-001901 · doc4.xml · derivative · entry 1 Behbahani Ali · CIK 0001613867 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 4 Disclosed balance after: 75,000 Underlying: Common Stock · 16,488,682 shares Expires not disclosed F1 · derivative.exercise_price: The Issuer's Series A Convertible Perpetual Preferred Stock ("Preferred Stock") is convertible at the option of the holder (subject to the expiration or early termination of the applicable waiting period, if any, under the HSR Act) into the number of shares of Issuer's common stock ("Common Stock") equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 plus increases for compounded dividends) plus (ii) the accrued dividends with respect to each share of Preferred Stock as of the applicable conversion date divided by (b) the conversion price (initially approximately $4.55) as of the applicable conversion date, subject to anti-dilution adjustments. F1 · price: The Issuer's Series A Convertible Perpetual Preferred Stock ("Preferred Stock") is convertible at the option of the holder (subject to the expiration or early termination of the applicable waiting period, if any, under the HSR Act) into the number of shares of Issuer's common stock ("Common Stock") equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 plus increases for compounded dividends) plus (ii) the accrued dividends with respect to each share of Preferred Stock as of the applicable conversion date divided by (b) the conversion price (initially approximately $4.55) as of the applicable conversion date, subject to anti-dilution adjustments. F1 · derivative.exercise_date: The Issuer's Series A Convertible Perpetual Preferred Stock ("Preferred Stock") is convertible at the option of the holder (subject to the expiration or early termination of the applicable waiting period, if any, under the HSR Act) into the number of shares of Issuer's common stock ("Common Stock") equal to the quotient of (a) the sum of (i) the liquidation preference (initially $1,000 plus increases for compounded dividends) plus (ii) the accrued dividends with respect to each share of Preferred Stock as of the applicable conversion date divided by (b) the conversion price (initially approximately $4.55) as of the applicable conversion date, subject to anti-dilution adjustments. F2 · derivative.expiration_date: The Preferred Stock has no expiration date. At any time after the third anniversary of the original issuance date, if the closing price per share of Common Stock is greater than 175% of the then-applicable conversion price (initially $7.96) for (x) at least 20 in any period of 30 consecutive trading days and (y) the last trading day immediately before the Issuer provides notice of its election to convert, the Issuer may elect to convert all of the Preferred Stock into the relevant number of shares of Common Stock. [Continued on Note 3] F3 · derivative.expiration_date: [Continuation of Note 2] At any time following the fifth anniversary of the original issuance date, the Issuer may redeem all of the Preferred Stock for a per share amount in cash equal to: (i) the sum of (A) the liquidation preference (reflecting increases for compounded dividends) thereof plus (B) all accrued dividends as of the applicable redemption date, multiplied by (ii) (A) 105% if the redemption occurs at any time prior to the seventh anniversary of the original issuance date and (B) 100% if the redemption occurs at any time on or after the seventh anniversary of the original issuance date. F4 · ownership.nature: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Read SEC document |
| December 22, 2021 Filed Dec 27, 2021 21:41 UTC | Metacrine, Inc. MTCR · Entity 115177 | SaleCommon Stock | 170,932 | $0.91 | $155,565.21 |
DisclosureSEC source: 0001209191-21-071267 · doc4.xml · nonDerivative · entry 3 Behbahani Ali · CIK 0001613867 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 2,563,257 F1 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. Read SEC document |
| December 22, 2021 Filed Dec 27, 2021 21:41 UTC | Metacrine, Inc. MTCR · Entity 115177 | SaleCommon Stock | 288,768 | $1.00 | $289,287.78 |
DisclosureSEC source: 0001209191-21-071267 · doc4.xml · nonDerivative · entry 2 Behbahani Ali · CIK 0001613867 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 2,734,189 F1 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. Read SEC document |
| December 17, 2021 Filed Dec 17, 2021 21:50 UTC | Black Diamond Therapeutics, Inc. BDTX · Entity 6669 | GrantCommon Stock | 2,472 | $5.31 | $13,126.32 |
DisclosureSEC source: 0001209191-21-070311 · doc4.xml · nonDerivative · entry 1 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,359 F1 · kind: These shares were issued in accordance with the Issuer's Amended and Restated Non-Employee Director Compensation Policy, pursuant to which the Reporting Person elected to receive shares of the Issuer's common stock in lieu of cash compensation for annual services as a non-employee director of the Issuer. F2 · price: The price reported in Column 4 is based upon the closing market price of the Issuer's common stock on December 16, 2021. Read SEC document |
| December 10, 2021 Filed Dec 27, 2021 21:41 UTC | Metacrine, Inc. MTCR · Entity 115177 | SaleCommon Stock | 37,570 | $1.32 | $49,629.97 |
DisclosureSEC source: 0001209191-21-071267 · doc4.xml · nonDerivative · entry 1 Behbahani Ali · CIK 0001613867 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 3,022,957 F1 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 16 securities in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionSeries D Preferred Stock · Derivative | 3,306 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · derivative · entry 20 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,306 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionSeries D Preferred Stock · Derivative | 742 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · derivative · entry 19 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,306 Underlying: Common Stock · 742 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionSeries D Preferred Stock · Derivative | 480 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · derivative · entry 18 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,564 Underlying: Common Stock · 480 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionSeries D Preferred Stock · Derivative | 501 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · derivative · entry 17 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,084 Underlying: Common Stock · 501 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionSeries D Preferred Stock · Derivative | 516 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · derivative · entry 16 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,583 Underlying: Common Stock · 516 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionSeries D Preferred Stock · Derivative | 523 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · derivative · entry 15 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,067 Underlying: Common Stock · 523 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionSeries D Preferred Stock · Derivative | 544 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · derivative · entry 14 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 544 Underlying: Common Stock · 544 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionSubordinated Secured Convertible Promissory Note · Derivative | Not disclosed | Not disclosed Strike: $11.31 | $8,398.26 |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · derivative · entry 13 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Series D Preferred Stock · 742 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · reported_value: Represents $8,398.26 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F7 · price: Represents $8,398.26 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F7 · derivative.exercise_date: Represents $8,398.26 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F7 · derivative.expiration_date: Represents $8,398.26 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionSubordinated Secured Convertible Promissory Note · Derivative | Not disclosed | Not disclosed Strike: $11.31 | $5,436.88 |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · derivative · entry 12 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Series D Preferred Stock · 480 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · reported_value: Represents $5,436.88 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F6 · price: Represents $5,436.88 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F6 · derivative.exercise_date: Represents $5,436.88 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F6 · derivative.expiration_date: Represents $5,436.88 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionSubordinated Secured Convertible Promissory Note · Derivative | Not disclosed | Not disclosed Strike: $11.31 | $5,674.16 |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · derivative · entry 11 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Series D Preferred Stock · 501 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · reported_value: Represents $5,674.16 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F5 · price: Represents $5,674.16 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F5 · derivative.exercise_date: Represents $5,674.16 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F5 · derivative.expiration_date: Represents $5,674.16 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionSubordinated Secured Convertible Promissory Note · Derivative | Not disclosed | Not disclosed Strike: $11.31 | $5,837.08 |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · derivative · entry 10 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Series D Preferred Stock · 516 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · reported_value: Represents $5,837.08 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F4 · price: Represents $5,837.08 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F4 · derivative.exercise_date: Represents $5,837.08 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F4 · derivative.expiration_date: Represents $5,837.08 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionSubordinated Secured Convertible Promissory Note · Derivative | Not disclosed | Not disclosed Strike: $11.31 | $5,920.31 |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · derivative · entry 9 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Series D Preferred Stock · 523 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · reported_value: Represents $5,920.31 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F3 · price: Represents $5,920.31 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F3 · derivative.exercise_date: Represents $5,920.31 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F3 · derivative.expiration_date: Represents $5,920.31 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionSubordinated Secured Convertible Promissory Note · Derivative | Not disclosed | Not disclosed Strike: $11.31 | $6,155.15 |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · derivative · entry 8 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Series D Preferred Stock · 544 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · reported_value: Represents $6,155.15 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F2 · price: Represents $6,155.15 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F2 · derivative.exercise_date: Represents $6,155.15 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. F2 · derivative.expiration_date: Represents $6,155.15 of outstanding principal and interest calculated through October 26, 2021, on which date such amount converted into shares of Series D Preferred Stock at a conversion price per share of $11.30602. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionSeries D Preferred Stock · Derivative | 4,196 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · derivative · entry 7 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,196 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionSeries C Preferred Stock · Derivative | 704 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · derivative · entry 6 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 704 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionSeries B Preferred Stock · Derivative | 281 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · derivative · entry 5 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 281 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionCommon Stock | 3,306 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · nonDerivative · entry 4 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,487 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionCommon Stock | 4,196 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · nonDerivative · entry 3 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,181 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionCommon Stock | 704 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · nonDerivative · entry 2 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 985 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| October 26, 2021 Filed Oct 28, 2021 21:06 UTC | MINERVA SURGICAL INC UTRS · Entity 115564 | ConversionCommon Stock | 281 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-061995 · doc4.xml · nonDerivative · entry 1 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 281 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| October 18, 2021 Filed Oct 20, 2021 01:11 UTC | Trevi Therapeutics, Inc. TRVI · Entity 4387 | Purchase7-Year Common Stock Warrant · Derivative | 1,851,852 | Not disclosed Strike: $1.37 | Not disclosed |
DisclosureSEC source: 0001209191-21-061092 · doc4.xml · derivative · entry 3 Behbahani Ali · CIK 0001613867 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 1,851,852 Underlying: Common Stock · 1,851,852 shares Expires 2028-10-18 F1 · price: Represents securities acquired pursuant to a Securities Purchase Agreement (the "SPA"), dated October 15, 2021, by and between the Issuer and New Enterprise Associates 16, L.P. ("NEA 16"), with a closing on October 18, 2021. Pursuant to the terms of the SPA, NEA 16 purchased common units for $1.62 per common unit. Each common unit consisted of one share of the Issuer's common stock, one 3.5 year common stock warrant, and one 7-year common stock warrant. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of NEA 16, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 18, 2021 Filed Oct 20, 2021 01:11 UTC | Trevi Therapeutics, Inc. TRVI · Entity 4387 | Purchase3.5-Year Common Stock Warrant · Derivative | 1,851,852 | Not disclosed Strike: $1.37 | Not disclosed |
DisclosureSEC source: 0001209191-21-061092 · doc4.xml · derivative · entry 2 Behbahani Ali · CIK 0001613867 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 1,851,852 Underlying: Common Stock · 1,851,852 shares Expires 2025-04-18 F1 · price: Represents securities acquired pursuant to a Securities Purchase Agreement (the "SPA"), dated October 15, 2021, by and between the Issuer and New Enterprise Associates 16, L.P. ("NEA 16"), with a closing on October 18, 2021. Pursuant to the terms of the SPA, NEA 16 purchased common units for $1.62 per common unit. Each common unit consisted of one share of the Issuer's common stock, one 3.5 year common stock warrant, and one 7-year common stock warrant. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of NEA 16, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 18, 2021 Filed Oct 20, 2021 01:11 UTC | Trevi Therapeutics, Inc. TRVI · Entity 4387 | PurchaseCommon Stock | 1,851,852 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-061092 · doc4.xml · nonDerivative · entry 1 Behbahani Ali · CIK 0001613867 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 7,789,850 F1 · price: Represents securities acquired pursuant to a Securities Purchase Agreement (the "SPA"), dated October 15, 2021, by and between the Issuer and New Enterprise Associates 16, L.P. ("NEA 16"), with a closing on October 18, 2021. Pursuant to the terms of the SPA, NEA 16 purchased common units for $1.62 per common unit. Each common unit consisted of one share of the Issuer's common stock, one 3.5 year common stock warrant, and one 7-year common stock warrant. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of NEA 16, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| September 17, 2021 Filed Sep 23, 2021 21:43 UTC | Black Diamond Therapeutics, Inc. BDTX · Entity 6669 | GrantCommon Stock | 1,326 | $9.90 | $13,127.40 |
DisclosureSEC source: 0001209191-21-057470 · doc4.xml · nonDerivative · entry 1 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,887 F1 · kind: These shares were issued in accordance with the Issuer's Amended and Restated Non-Employee Director Compensation Policy, pursuant to which the Reporting Person elected to receive shares of the Issuer's common stock in lieu of cash compensation for annual services as a non-employee director of the Issuer. F2 · price: The price reported in Column 4 is based upon the closing market price of the Issuer's common stock on September 16, 2021. Read SEC document |
| July 01, 2021 Filed Jul 2, 2021 16:27 UTC | GENOCEA BIOSCIENCES, INC. GNCA · Entity 12635 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $2.33 | $0.00 |
DisclosureSEC source: 0001209191-21-044965 · doc4.xml · derivative · entry 1 Behbahani Ali · CIK 0001613867 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2031-07-01 F1 · derivative.exercise_date: 100% of the options are scheduled to vest on the first anniversary of the grant date. Read SEC document |
| July 01, 2021 Filed Jul 2, 2021 21:01 UTC | Adaptimmune Therapeutics PLC ADAP · Entity 9824 | GrantOption to purchase Ordinary Shares · Derivative | 474,385 | $0.00 Strike: $0.71 | $0.00 |
DisclosureSEC source: 0001209191-21-045059 · doc4.xml · derivative · entry 1 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 474,385 Underlying: Ordinary Shares · 474,385 shares Expires 2031-07-01 F1 · derivative.exercise_price: The exercise price was converted from GBP0.51 based on an exchange rate of $U.S. 1.3807 to GBP1.00. The actual exercise price will be the pounds sterling amount. Read SEC document |
| June 29, 2021 Filed Jul 1, 2021 21:35 UTC | CVRx, Inc. CVRX · Entity 6920 | GrantStock Option (right to buy) · Derivative | 10,382 | $0.00 Strike: $18.00 | $0.00 |
DisclosureSEC source: 0001209191-21-044503 · doc4.xml · derivative · entry 1 Behbahani Ali · CIK 0001613867 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,382 Underlying: Common Stock · 10,382 shares Expires 2031-06-28 F1 · derivative.exercise_date: Vests on the earlier of June 29, 2022 or the Issuer's 2022 annual meeting of stockholders. Read SEC document |
| June 28, 2021 Filed Jul 1, 2021 01:28 UTC | NeueHealth, Inc. BHG · Entity 74308 | ConversionSeries E Preferred · Derivative | 2,448,856 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-044189 · doc4.xml · derivative · entry 12 Behbahani Ali · CIK 0001613867 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 3 Disclosed balance after: 0 Underlying: Common Stock · 7,346,568 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the Issuer's Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of the Issuer's common stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F1 · derivative.exercise_date: Each share of the Issuer's Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of the Issuer's common stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F1 · derivative.expiration_date: Each share of the Issuer's Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of the Issuer's common stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F3 · ownership.nature: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Read SEC document |
| June 28, 2021 Filed Jul 1, 2021 01:28 UTC | NeueHealth, Inc. BHG · Entity 74308 | ConversionSeries E Preferred · Derivative | 1,224,428 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-044189 · doc4.xml · derivative · entry 11 Behbahani Ali · CIK 0001613867 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 0 Underlying: Common Stock · 3,673,284 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the Issuer's Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of the Issuer's common stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F1 · derivative.exercise_date: Each share of the Issuer's Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of the Issuer's common stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F1 · derivative.expiration_date: Each share of the Issuer's Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of the Issuer's common stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. 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.