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person · Reporting owner

GILLIS STEVEN

Disclosed activity across 21 companies

Tapewire entity
32071
SEC CIK
0001229592

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Boundless Bio, Inc.BOLD · Entity 706310% ownerJuly 01, 2026July 06, 2026
Codiak BioSciences, Inc.CDAK · Entity 114958DirectorFebruary 16, 2023February 21, 2023
DA32 Life Science Tech Acquisition Corp.DALS · Entity 11066910% ownerJuly 28, 2023August 10, 2023
Kardigan, Inc.KARD · Entity 4569Director · 10% ownerJune 22, 2026June 24, 2026
Lyell Immunopharma, Inc.LYEL · Entity 575710% ownerMarch 06, 2026March 09, 2026
Maze Therapeutics, Inc.MAZE · Entity 177510% ownerJanuary 30, 2025January 30, 2025
Neumora Therapeutics, Inc.NMRA · Entity 611510% ownerOctober 27, 2025October 29, 2025
PHASERX, INC.PZRX · Entity 174777Director · 10% ownerMay 25, 2017May 30, 2017
Prime Medicine, Inc.PRME · Entity 528110% ownerAugust 01, 2025August 01, 2025
Q32 Bio Inc.FIXX · Entity 5594DirectorJune 14, 2023June 15, 2023
Rapport Therapeutics, Inc.RAPP · Entity 439410% ownerJune 10, 2024June 10, 2024
Sana Biotechnology, Inc.SANA · Entity 487010% ownerFebruary 08, 2024February 12, 2024
Seaport Therapeutics, Inc.SPTX · Entity 479910% ownerMay 04, 2026May 04, 2026
Sienna Biopharmaceuticals, Inc.SNNA · Entity 15455410% ownerFebruary 22, 2019February 26, 2019
TAKEDA PHARMACEUTICAL CO LTDTAK · Entity 2662DirectorJuly 01, 2026July 06, 2026
VBI VACCINES INC.VBIV · Entity 154844DirectorSeptember 19, 2019September 23, 2019
VBI Vaccines Inc/BCVBIV · Entity 111039DirectorJuly 27, 2023July 28, 2023

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.

Boundless Bio, Inc.

Report date July 01, 2026 · Filed July 06, 2026

Jointly reported with CRANDELL KEITH, BYBEE CLINTON, NELSEN ROBERT, Burow Kristina

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote0 Last balance in matching sequence After 2026-07-01 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2026-07-01 · Exercise / conversion · Acquired 16,000 · Balance 16,000

F1: Represents a cashless stock option exercise by Kristina Burow. The net proceeds of such exercise were remitted to ARCH Venture Fund IX, L.P. (ARCH IX), ARCH Venture Fund IX Overage, L.P. (ARCH IX Overage), and ARCH Venture Fund X, L.P. (AVF X Overage LP). The stock option was granted to Kristina Burow in connection with her service on the board of directors of the Issuer.

Row 2 · 2026-07-01 · Sale · Disposed 16,000 · Balance 0

F1: Represents a cashless stock option exercise by Kristina Burow. The net proceeds of such exercise were remitted to ARCH Venture Fund IX, L.P. (ARCH IX), ARCH Venture Fund IX Overage, L.P. (ARCH IX Overage), and ARCH Venture Fund X, L.P. (AVF X Overage LP). The stock option was granted to Kristina Burow in connection with her service on the board of directors of the Issuer.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.03 · Expires 2035-06-22IndirectSee footnote0 Reported balance After 2026-07-01 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2026-07-01 · Exercise / conversion · Disposed 16,000 · Balance 0

F7: The stock option vested in substantially equal monthly installments over the 11 months following June 23, 2025. The final unvested portion vested on June 15, 2026, the date of the Issuer's 2026 annual meeting of stockholders.

F1: Represents a cashless stock option exercise by Kristina Burow. The net proceeds of such exercise were remitted to ARCH Venture Fund IX, L.P. (ARCH IX), ARCH Venture Fund IX Overage, L.P. (ARCH IX Overage), and ARCH Venture Fund X, L.P. (AVF X Overage LP). The stock option was granted to Kristina Burow in connection with her service on the board of directors of the Issuer.

Common StockSEC Table I · non-derivativeIndirectSee footnotes683,759 Reported balance Holding disclosure · report date 2026-07-01 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 683,759

F2: Represents shares held directly by ARCH Venture Fund IX, L.P. (ARCH IX). ARCH Venture Partners IX, L.P. (AVP IX LP) is the sole general partner of ARCH IX.

F4: ARCH Venture Partners IX, LLC (AVP IX LLC) is the sole general partner of each of AVP IX LP and AVP IX Overage LP. Keith Crandell, Robert Nelsen and Clinton Bybee are managing directors of AVP IX LLC (the AVP IX MDs). AVP IX LP and AVP IX Overage LP may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, respectively, AVP IX LLC may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, and each of the AVP IX MDs may be deemed to share the power to direct the disposition and vote of the shares held by ARCH IX and ARCH IX Overage. AVP IX LP, AVP IX Overage LP, AVP IX LLC, and the AVP IX MDs each disclaim beneficial ownership except to to the extent of any pecuniary interest therein, if any.

Common StockSEC Table I · non-derivativeIndirectSee footnotes828,570 Reported balance Holding disclosure · report date 2026-07-01 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 828,570

F3: Represents shares held directly by ARCH Venture Fund IX Overage, L.P. (ARCH IX Overage). ARCH Venture Partners IX Overage, L.P. (AVP IX Overage LP) is the sole general partner of ARCH IX Overage.

F4: ARCH Venture Partners IX, LLC (AVP IX LLC) is the sole general partner of each of AVP IX LP and AVP IX Overage LP. Keith Crandell, Robert Nelsen and Clinton Bybee are managing directors of AVP IX LLC (the AVP IX MDs). AVP IX LP and AVP IX Overage LP may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, respectively, AVP IX LLC may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, and each of the AVP IX MDs may be deemed to share the power to direct the disposition and vote of the shares held by ARCH IX and ARCH IX Overage. AVP IX LP, AVP IX Overage LP, AVP IX LLC, and the AVP IX MDs each disclaim beneficial ownership except to to the extent of any pecuniary interest therein, if any.

Common StockSEC Table I · non-derivativeIndirectSee footnotes1,181,766 Reported balance Holding disclosure · report date 2026-07-01 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 1,181,766

F5: Represents shares held directly by ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH X Overage.

F6: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of AVP X Overage LP. Keith Crandell, Kristina Burow, Robert Nelsen and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X Overage, AVP X LLC may be deemed to beneficially own the shares held by ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X Overage. AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Represents a cashless stock option exercise by Kristina Burow. The net proceeds of such exercise were remitted to ARCH Venture Fund IX, L.P. (ARCH IX), ARCH Venture Fund IX Overage, L.P. (ARCH IX Overage), and ARCH Venture Fund X, L.P. (AVF X Overage LP). The stock option was granted to Kristina Burow in connection with her service on the board of directors of the Issuer.

F2: Represents shares held directly by ARCH Venture Fund IX, L.P. (ARCH IX). ARCH Venture Partners IX, L.P. (AVP IX LP) is the sole general partner of ARCH IX.

F3: Represents shares held directly by ARCH Venture Fund IX Overage, L.P. (ARCH IX Overage). ARCH Venture Partners IX Overage, L.P. (AVP IX Overage LP) is the sole general partner of ARCH IX Overage.

F4: ARCH Venture Partners IX, LLC (AVP IX LLC) is the sole general partner of each of AVP IX LP and AVP IX Overage LP. Keith Crandell, Robert Nelsen and Clinton Bybee are managing directors of AVP IX LLC (the AVP IX MDs). AVP IX LP and AVP IX Overage LP may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, respectively, AVP IX LLC may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, and each of the AVP IX MDs may be deemed to share the power to direct the disposition and vote of the shares held by ARCH IX and ARCH IX Overage. AVP IX LP, AVP IX Overage LP, AVP IX LLC, and the AVP IX MDs each disclaim beneficial ownership except to to the extent of any pecuniary interest therein, if any.

F5: Represents shares held directly by ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH X Overage.

F6: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of AVP X Overage LP. Keith Crandell, Kristina Burow, Robert Nelsen and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X Overage, AVP X LLC may be deemed to beneficially own the shares held by ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X Overage. AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein, if any.

F7: The stock option vested in substantially equal monthly installments over the 11 months following June 23, 2025. The final unvested portion vested on June 15, 2026, the date of the Issuer's 2026 annual meeting of stockholders.

Codiak BioSciences, Inc.

Report date February 16, 2023 · Filed February 21, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect8,750 Reported balance After 2023-02-16 transaction · row 1
1 source row

Row 1 · 2023-02-16 · Exercise / conversion · Acquired 8,750 · Balance 8,750

F1: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2023-02-16 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2023-02-16 · Exercise / conversion · Disposed 8,750 · Balance 0

F2: Each RSU represents a contingent right to receive one share of common stock.

F3: On February 16, 2022, the reporting person was granted 8,750 RSUs, which vested in full on February 16, 2023.

Filing footnotes · ownership attribution and instrument terms

F1: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

F2: Each RSU represents a contingent right to receive one share of common stock.

F3: On February 16, 2022, the reporting person was granted 8,750 RSUs, which vested in full on February 16, 2023.

DA32 Life Science Tech Acquisition Corp.

Report date July 28, 2023 · Filed August 10, 2023

Jointly reported with ARCH Venture Fund XI, L.P., ARCH Venture Partners XI, L.P., ARCH Venture Partners XI, LLC, NELSEN ROBERT, Burow Kristina

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2023-07-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2023-07-28 · Other · Disposed 1,600,000 · Balance 0

F1: On July 28, 2023, the Issuer redeemed all of its outstanding shares of Class A common stock that were publicly traded for a redemption price of approximately $10.31 per share.

F2: This Form 4 is filed jointly by ARCH Venture Fund XI, L.P. ("AVF"), ARCH Venture Partners XI, L.P. ("AVP LP"), ARCH Venture Partners XI, LLC ("AVP LLC"), Kristina Burow, Robert Nelsen and Steven Gillis (collectively, the "Reporting Persons"). Keith Crandell has direct ownership of the Issuer's Class B Common Stock, as well as indirect pecuniary ownership of the Issuer's Class B Common Stock and shares of Class A common stock purchased in a private placement and is filing his own Form 4 separately. Burow, Crandell, Nelsen and Gillis comprise the investment committee of AVP LLC (the AVP X Committee Members). Each of the Reporting Persons is a member of a Section 13(d) group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectThrough DA32 Sponsor LLC650,000 Reported balance Holding disclosure · report date 2023-07-28 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 650,000

F2: This Form 4 is filed jointly by ARCH Venture Fund XI, L.P. ("AVF"), ARCH Venture Partners XI, L.P. ("AVP LP"), ARCH Venture Partners XI, LLC ("AVP LLC"), Kristina Burow, Robert Nelsen and Steven Gillis (collectively, the "Reporting Persons"). Keith Crandell has direct ownership of the Issuer's Class B Common Stock, as well as indirect pecuniary ownership of the Issuer's Class B Common Stock and shares of Class A common stock purchased in a private placement and is filing his own Form 4 separately. Burow, Crandell, Nelsen and Gillis comprise the investment committee of AVP LLC (the AVP X Committee Members). Each of the Reporting Persons is a member of a Section 13(d) group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.

F3: DA32 Sponsor LLC ("Sponsor") owns 650,000 shares of Class A common stock purchased in a private placement concurrently with the Issuer's initial public offering.

F4: As a managing member of Sponsor, AVF may be deemed to beneficially own the securities owned directly by Sponsor. As the sole general partner of AVF, AVP LP may be deemed to beneficially own the securities owned directly by Sponsor. As the sole general partner of AVP LP, AVP LLC may be deemed to beneficially own securities owned directly by Sponsor. As the members of the investment committee, each of the AVP X Committee Members may be deemed to beneficially own securities owned directly by Sponsor. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: On July 28, 2023, the Issuer redeemed all of its outstanding shares of Class A common stock that were publicly traded for a redemption price of approximately $10.31 per share.

F2: This Form 4 is filed jointly by ARCH Venture Fund XI, L.P. ("AVF"), ARCH Venture Partners XI, L.P. ("AVP LP"), ARCH Venture Partners XI, LLC ("AVP LLC"), Kristina Burow, Robert Nelsen and Steven Gillis (collectively, the "Reporting Persons"). Keith Crandell has direct ownership of the Issuer's Class B Common Stock, as well as indirect pecuniary ownership of the Issuer's Class B Common Stock and shares of Class A common stock purchased in a private placement and is filing his own Form 4 separately. Burow, Crandell, Nelsen and Gillis comprise the investment committee of AVP LLC (the AVP X Committee Members). Each of the Reporting Persons is a member of a Section 13(d) group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.

F3: DA32 Sponsor LLC ("Sponsor") owns 650,000 shares of Class A common stock purchased in a private placement concurrently with the Issuer's initial public offering.

F4: As a managing member of Sponsor, AVF may be deemed to beneficially own the securities owned directly by Sponsor. As the sole general partner of AVF, AVP LP may be deemed to beneficially own the securities owned directly by Sponsor. As the sole general partner of AVP LP, AVP LLC may be deemed to beneficially own securities owned directly by Sponsor. As the members of the investment committee, each of the AVP X Committee Members may be deemed to beneficially own securities owned directly by Sponsor. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy: ARCH Venture Fund XIII, L.P.15,042,035 Reported balance After 2026-06-22 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2026-06-22 · Purchase · Acquired 1,250,000 · Balance 15,042,035

F1: These securities are directly held by ARCH Venture Fund XIII, L.P. ("ARCH XIII"). ARCH Venture Partners XIII, L.P. ("AVP XIII LP") is the general partner of ARCH XIII. ARCH Venture Partners XIII, LLC ("AVP XIII LLC") is the general partner of AVP XIII LP. Paul Berns, Kristina M. Burow, Keith Crandell, Steven Gillis and Robert Nelsen are members of the investment committee of AVP XIII LLC (the "AVP XIII LLC Committee Members"). Mr. Berns serves on the board of directors of the Issuer. Each of AVP XIII LP and AVP XIII LLC may be deemed to beneficially own the shares held by ARCH XIII, and each of the AVP XIII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XIII. Each of AVP XIII LP, AVP XIII LLC and the AVP XIII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are directly held by ARCH Venture Fund XIII, L.P. ("ARCH XIII"). ARCH Venture Partners XIII, L.P. ("AVP XIII LP") is the general partner of ARCH XIII. ARCH Venture Partners XIII, LLC ("AVP XIII LLC") is the general partner of AVP XIII LP. Paul Berns, Kristina M. Burow, Keith Crandell, Steven Gillis and Robert Nelsen are members of the investment committee of AVP XIII LLC (the "AVP XIII LLC Committee Members"). Mr. Berns serves on the board of directors of the Issuer. Each of AVP XIII LP and AVP XIII LLC may be deemed to beneficially own the shares held by ARCH XIII, and each of the AVP XIII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XIII. Each of AVP XIII LP, AVP XIII LLC and the AVP XIII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote1,426,528 Reported balance After 2026-03-06 transaction · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · 2026-03-06 · Purchase · Acquired 488,090 · Balance 1,426,528

F1: These shares are directly held by ARCH Venture Fund XIII, L.P. ("ARCH XIII"). ARCH Venture Partners XIII, L.P. ("AVP XIII LP") is the general partner of ARCH XIII. ARCH Venture Partners XIII, LLC ("AVP XIII LLC") is the general partner of AVP XIII LP. Keith Crandell, Robert Nelsen, Kristina Burow, Paul Berns and Steven Gillis are members of the investment committee of AVP XIII LLC (the "AVP XIII LLC Committee Members"). Each of AVP XIII LP and AVP XIII LLC may be deemed to beneficially own the shares held by ARCH XIII, and each of the AVP XIII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XIII. Each of AVP XIII LP, AVP XIII LLC and the AVP XIII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Common StockSEC Table I · non-derivativeIndirectSee footnote910,317 Reported balance Holding disclosure · report date 2026-03-06 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 910,317

F2: These shares are directly held by ARCH Venture Fund IX, L.P. ("ARCH IX"). ARCH Venture Partners IX, L.P. ("GPLP"), as the sole general partner of ARCH IX, may be deemed to beneficially own the shares held by ARCH IX. ARCH Venture Partners IX, LLC ("GPLLC"), as the sole general partner of GPLP, may be deemed to beneficially own the shares held by ARCH IX. As managing directors of GPLLC, each of Keith Crandell, Robert Nelsen and Clinton Bybee (the "ARCH Managing Directors"), may be deemed to beneficially own the shares held by ARCH IX. Each of GPLP, GPLLC and the ARCH Managing Directors disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interest therein, if any.

Common StockSEC Table I · non-derivativeIndirectSee footnote910,317 Reported balance Holding disclosure · report date 2026-03-06 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 910,317

F3: These shares are directly held by ARCH Venture Fund IX Overage, L.P. ("ARCH Overage"). ARCH Venture Partners IX Overage, L.P. ("Overage GPLP"), as the sole general partner of ARCH Overage, may be deemed to beneficially own the shares held by ARCH Overage. GPLLC, as the sole general partner of Overage GPLP, may be deemed to beneficially own the shares held by ARCH Overage. As managing directors of GPLLC, each of the ARCH Managing Directors may be deemed to beneficially own the shares held by ARCH Overage. Each of Overage GPLP, GPLLC and the ARCH Managing Directors disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are directly held by ARCH Venture Fund XIII, L.P. ("ARCH XIII"). ARCH Venture Partners XIII, L.P. ("AVP XIII LP") is the general partner of ARCH XIII. ARCH Venture Partners XIII, LLC ("AVP XIII LLC") is the general partner of AVP XIII LP. Keith Crandell, Robert Nelsen, Kristina Burow, Paul Berns and Steven Gillis are members of the investment committee of AVP XIII LLC (the "AVP XIII LLC Committee Members"). Each of AVP XIII LP and AVP XIII LLC may be deemed to beneficially own the shares held by ARCH XIII, and each of the AVP XIII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XIII. Each of AVP XIII LP, AVP XIII LLC and the AVP XIII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

F2: These shares are directly held by ARCH Venture Fund IX, L.P. ("ARCH IX"). ARCH Venture Partners IX, L.P. ("GPLP"), as the sole general partner of ARCH IX, may be deemed to beneficially own the shares held by ARCH IX. ARCH Venture Partners IX, LLC ("GPLLC"), as the sole general partner of GPLP, may be deemed to beneficially own the shares held by ARCH IX. As managing directors of GPLLC, each of Keith Crandell, Robert Nelsen and Clinton Bybee (the "ARCH Managing Directors"), may be deemed to beneficially own the shares held by ARCH IX. Each of GPLP, GPLLC and the ARCH Managing Directors disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interest therein, if any.

F3: These shares are directly held by ARCH Venture Fund IX Overage, L.P. ("ARCH Overage"). ARCH Venture Partners IX Overage, L.P. ("Overage GPLP"), as the sole general partner of ARCH Overage, may be deemed to beneficially own the shares held by ARCH Overage. GPLLC, as the sole general partner of Overage GPLP, may be deemed to beneficially own the shares held by ARCH Overage. As managing directors of GPLLC, each of the ARCH Managing Directors may be deemed to beneficially own the shares held by ARCH Overage. Each of Overage GPLP, GPLLC and the ARCH Managing Directors disclaims beneficial ownership of the securities reported herein, except to the extent of their pecuniary interest therein, if any.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series A Preferred StockSEC Table II · derivative / convertible securityIndirectARCH Venture Fund X, L.P.Not disclosed Reported balance Holding disclosure · report date 2025-01-30 · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · Balance Not disclosed

F1: Pursuant to the Issuer's Restated Certificate of Incorporation, each share of Series A Convertible Preferred Stock may be converted, at the option of the holder, at any time. In connection with the completion of the Issuer's initial public offering of its Common Stock, each share of Series A Convertible Preferred Stock shall automatically convert into shares of Common Stock at a ratio of 1-for- 0.1037236801. The securities have no expiration date.

F2: Represents shares held directly by ARCH Venture Fund X, L.P. ("ARCH X"). ARCH Venture Partners X, L.P. ("AVP X LP") is the sole general partner of ARCH X.

F3: ARCH Venture Partners X, LLC ("AVP X LLC") is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the "AVP X Committee Members"). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectARCH Venture Fund X Overage, L.P.Not disclosed Reported balance Holding disclosure · report date 2025-01-30 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F1: Pursuant to the Issuer's Restated Certificate of Incorporation, each share of Series A Convertible Preferred Stock may be converted, at the option of the holder, at any time. In connection with the completion of the Issuer's initial public offering of its Common Stock, each share of Series A Convertible Preferred Stock shall automatically convert into shares of Common Stock at a ratio of 1-for- 0.1037236801. The securities have no expiration date.

F3: ARCH Venture Partners X, LLC ("AVP X LLC") is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the "AVP X Committee Members"). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose.

F4: Represents shares held directly by ARCH Venture Fund X Overage, L.P. ("ARCH X Overage"). ARCH Venture Partners X Overage, L.P. ("AVP X Overage LP") is the sole general partner of ARCH X Overage.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectARCH Venture Fund X, L.P.Not disclosed Reported balance Holding disclosure · report date 2025-01-30 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · Balance Not disclosed

F5: Pursuant to the Issuer's Restated Certificate of Incorporation, upon closing of the Issuer's initial public offering of its Common Stock, each share of Series B Convertible Preferred Stock automatically converted into shares of Common Stock at a ratio of 1-for- 0.1211056427. The securities have no expiration date.

F2: Represents shares held directly by ARCH Venture Fund X, L.P. ("ARCH X"). ARCH Venture Partners X, L.P. ("AVP X LP") is the sole general partner of ARCH X.

F3: ARCH Venture Partners X, LLC ("AVP X LLC") is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the "AVP X Committee Members"). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectARCH Venture Fund X Overage, L.P.Not disclosed Reported balance Holding disclosure · report date 2025-01-30 · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · Balance Not disclosed

F5: Pursuant to the Issuer's Restated Certificate of Incorporation, upon closing of the Issuer's initial public offering of its Common Stock, each share of Series B Convertible Preferred Stock automatically converted into shares of Common Stock at a ratio of 1-for- 0.1211056427. The securities have no expiration date.

F3: ARCH Venture Partners X, LLC ("AVP X LLC") is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the "AVP X Committee Members"). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose.

F4: Represents shares held directly by ARCH Venture Fund X Overage, L.P. ("ARCH X Overage"). ARCH Venture Partners X Overage, L.P. ("AVP X Overage LP") is the sole general partner of ARCH X Overage.

Series D-1 Preferred StockSEC Table II · derivative / convertible securityIndirectARCH Venture Fund X, L.P.Not disclosed Reported balance Holding disclosure · report date 2025-01-30 · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · Balance Not disclosed

F6: Pursuant to the Issuer's Restated Certificate of Incorporation, each share of Series D-1 Convertible Preferred Stock may be converted, at the option of the holder, at any time. In connection with the completion of the Issuer's initial public offering of its Common Stock, each share of Series D-1 Convertible Preferred Stock shall automatically convert into shares of Common Stock at a ratio of 1-for-0.1037236801. The securities have no expiration date.

F2: Represents shares held directly by ARCH Venture Fund X, L.P. ("ARCH X"). ARCH Venture Partners X, L.P. ("AVP X LP") is the sole general partner of ARCH X.

F3: ARCH Venture Partners X, LLC ("AVP X LLC") is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the "AVP X Committee Members"). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose.

Series D-1 Preferred StockSEC Table II · derivative / convertible securityIndirectARCH Venture Fund X Overage, L.P.Not disclosed Reported balance Holding disclosure · report date 2025-01-30 · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · Balance Not disclosed

F6: Pursuant to the Issuer's Restated Certificate of Incorporation, each share of Series D-1 Convertible Preferred Stock may be converted, at the option of the holder, at any time. In connection with the completion of the Issuer's initial public offering of its Common Stock, each share of Series D-1 Convertible Preferred Stock shall automatically convert into shares of Common Stock at a ratio of 1-for-0.1037236801. The securities have no expiration date.

F3: ARCH Venture Partners X, LLC ("AVP X LLC") is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the "AVP X Committee Members"). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose.

F4: Represents shares held directly by ARCH Venture Fund X Overage, L.P. ("ARCH X Overage"). ARCH Venture Partners X Overage, L.P. ("AVP X Overage LP") is the sole general partner of ARCH X Overage.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Issuer's Restated Certificate of Incorporation, each share of Series A Convertible Preferred Stock may be converted, at the option of the holder, at any time. In connection with the completion of the Issuer's initial public offering of its Common Stock, each share of Series A Convertible Preferred Stock shall automatically convert into shares of Common Stock at a ratio of 1-for- 0.1037236801. The securities have no expiration date.

F2: Represents shares held directly by ARCH Venture Fund X, L.P. ("ARCH X"). ARCH Venture Partners X, L.P. ("AVP X LP") is the sole general partner of ARCH X.

F3: ARCH Venture Partners X, LLC ("AVP X LLC") is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the "AVP X Committee Members"). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose.

F4: Represents shares held directly by ARCH Venture Fund X Overage, L.P. ("ARCH X Overage"). ARCH Venture Partners X Overage, L.P. ("AVP X Overage LP") is the sole general partner of ARCH X Overage.

F5: Pursuant to the Issuer's Restated Certificate of Incorporation, upon closing of the Issuer's initial public offering of its Common Stock, each share of Series B Convertible Preferred Stock automatically converted into shares of Common Stock at a ratio of 1-for- 0.1211056427. The securities have no expiration date.

F6: Pursuant to the Issuer's Restated Certificate of Incorporation, each share of Series D-1 Convertible Preferred Stock may be converted, at the option of the holder, at any time. In connection with the completion of the Issuer's initial public offering of its Common Stock, each share of Series D-1 Convertible Preferred Stock shall automatically convert into shares of Common Stock at a ratio of 1-for-0.1037236801. The securities have no expiration date.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy ARCH Venture Fund XII, L.P.6,046,907 Reported balance After 2025-10-27 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2025-10-27 · Purchase · Acquired 1,915,700 · Balance 6,046,907

F1: Represents shares held directly by ARCH Venture Fund XII, L.P. (ARCH XII). ARCH Venture Partners XII, L.P. (AVP XII LP) is the general partner of ARCH XII. ARCH Venture Partners XII, LLC (AVP XII LLC) is the general partner of AVP XII LP. Keith Crandell, Kristina Burow, Steven Gillis and Robert Nelsen comprise the investment committee of AVP XII LLC (the AVP XII LLC Committee Members). Each of AVP XII LP and AVP XII LLC may be deemed to beneficially own the shares held by ARCH XII, and each of the AVP XII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XII. Each of AVP XII LP, AVP XII LLC and the AVP XII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Common StockSEC Table I · non-derivativeIndirectBy ARCH Venture Fund VII, L.P.1,387,228 Reported balance Holding disclosure · report date 2025-10-27 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 1,387,228

F2: Represents shares held directly by ARCH Venture Fund VII, L.P. (ARCH VII). ARCH Venture Partners VII, L.P. (AVP VII LP) is the sole general partner of ARCH VII, and ARCH Venture Partners VII, LLC (AVP VII LLC) is the sole general partner of AVP VII LP. Clinton Bybee, Keith Crandell and Robert Nelsen are the managing directors of AVP VII LLC (AVP VII LLC Managing Directors). AVP VII LP and AVP VII LLC may be deemed to beneficially own the shares held by ARCH VII, and each of the AVP VII LLC Managing Directors may be deemed to share the power to direct the disposition and vote of the shares held by ARCH VII. Each of AVP VII LP, AVP VII LLC and the AVP VII LLC Managing Directors disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Common StockSEC Table I · non-derivativeIndirectBy ARCH Venture Fund VIII Overage, L.P.2,321,566 Reported balance Holding disclosure · report date 2025-10-27 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 2,321,566

F3: Represents shares held directly by ARCH Venture Fund VIII Overage, L.P. (ARCH VIII Overage). ARCH Venture Partners VIII, LLC (AVP VIII LLC) is the general partner of ARCH VIII Overage. Clinton Bybee, Keith Crandell and Robert Nelsen are the managing directors of AVP VIII LLC (the AVP VIII LLC Managing Directors). AVP VIII LLC may be deemed to beneficially own the shares held by ARCH VIII Overage, and each of the AVP VIII LLC Managing Directors may be deemed to share the power to direct the disposition and vote of the shares held by ARCH VIII Overage. Each of AVP VIII LLC and the AVP VIII LLC Managing Directors disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Common StockSEC Table I · non-derivativeIndirectBy ARCH Venture Fund X, L.P.12,205,379 Reported balance Holding disclosure · report date 2025-10-27 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 12,205,379

F4: Represents shares held directly by ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH X.

F6: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. Each of AVP X LP, AVP X Overage LP, AVP X LLC and the AVP X Committee Members disclaims beneficial ownership of such shares except to the extent of their pecuniary interest therein, if any.

Common StockSEC Table I · non-derivativeIndirectBy ARCH Venture Fund X Overage, L.P.11,886,758 Reported balance Holding disclosure · report date 2025-10-27 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 11,886,758

F5: Represents shares held directly by ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH X Overage.

F6: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. Each of AVP X LP, AVP X Overage LP, AVP X LLC and the AVP X Committee Members disclaims beneficial ownership of such shares except to the extent of their pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Represents shares held directly by ARCH Venture Fund XII, L.P. (ARCH XII). ARCH Venture Partners XII, L.P. (AVP XII LP) is the general partner of ARCH XII. ARCH Venture Partners XII, LLC (AVP XII LLC) is the general partner of AVP XII LP. Keith Crandell, Kristina Burow, Steven Gillis and Robert Nelsen comprise the investment committee of AVP XII LLC (the AVP XII LLC Committee Members). Each of AVP XII LP and AVP XII LLC may be deemed to beneficially own the shares held by ARCH XII, and each of the AVP XII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XII. Each of AVP XII LP, AVP XII LLC and the AVP XII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

F2: Represents shares held directly by ARCH Venture Fund VII, L.P. (ARCH VII). ARCH Venture Partners VII, L.P. (AVP VII LP) is the sole general partner of ARCH VII, and ARCH Venture Partners VII, LLC (AVP VII LLC) is the sole general partner of AVP VII LP. Clinton Bybee, Keith Crandell and Robert Nelsen are the managing directors of AVP VII LLC (AVP VII LLC Managing Directors). AVP VII LP and AVP VII LLC may be deemed to beneficially own the shares held by ARCH VII, and each of the AVP VII LLC Managing Directors may be deemed to share the power to direct the disposition and vote of the shares held by ARCH VII. Each of AVP VII LP, AVP VII LLC and the AVP VII LLC Managing Directors disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

F3: Represents shares held directly by ARCH Venture Fund VIII Overage, L.P. (ARCH VIII Overage). ARCH Venture Partners VIII, LLC (AVP VIII LLC) is the general partner of ARCH VIII Overage. Clinton Bybee, Keith Crandell and Robert Nelsen are the managing directors of AVP VIII LLC (the AVP VIII LLC Managing Directors). AVP VIII LLC may be deemed to beneficially own the shares held by ARCH VIII Overage, and each of the AVP VIII LLC Managing Directors may be deemed to share the power to direct the disposition and vote of the shares held by ARCH VIII Overage. Each of AVP VIII LLC and the AVP VIII LLC Managing Directors disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

F4: Represents shares held directly by ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH X.

F5: Represents shares held directly by ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH X Overage.

F6: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. Each of AVP X LP, AVP X Overage LP, AVP X LLC and the AVP X Committee Members disclaims beneficial ownership of such shares except to the extent of their pecuniary interest therein, if any.

PHASERX, INC.

Report date May 25, 2017 · Filed May 30, 2017

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.08 · Expires 2027-05-25Direct14,000 Reported balance After 2017-05-25 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2017-05-25 · Grant · Acquired 14,000 · Balance 14,000

F1: On May 25, 2017, the reporting person was granted an option to purchase shares of common stock. The option vests in 1/12th equal installments on each monthly anniversary of May 25, 2017, and subject to the reporting person's continued service to the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: On May 25, 2017, the reporting person was granted an option to purchase shares of common stock. The option vests in 1/12th equal installments on each monthly anniversary of May 25, 2017, and subject to the reporting person's continued service to the Issuer.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy ARCH Venture Fund XII, L.P.6,230,300 Reported balance After 2025-08-01 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2025-08-01 · Purchase · Acquired 3,030,300 · Balance 6,230,300

F4: Represents shares held directly by ARCH Venture Fund XII, L.P. ("ARCH XII"). ARCH Venture Partners XII, L.P. ("AVP XII LP") is the general partner of ARCH XII. ARCH Venture Partners XII, LLC ("AVP XII LLC") is the general partner of AVP XII LP. Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP XII LLC (the "AVP XII LLC Committee Members"). Each of AVP XII LP and AVP XII LLC may be deemed to beneficially own the shares held by ARCH XII, and each of the AVP XII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XII. Each of AVP XII LP, AVP XII LLC and the AVP XII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Common StockSEC Table I · non-derivativeIndirectBy ARCH Venture Fund X, L.P.6,128,297 Reported balance Holding disclosure · report date 2025-08-01 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 6,128,297

F1: Represents shares held directly by ARCH Venture Fund X, L.P. ("ARCH X"). ARCH Venture Partners X, L.P. ("AVP X LP") is the sole general partner of ARCH X.

F3: ARCH Venture Partners X, LLC ("AVP X LLC") is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the "AVP X Committee Members"). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose.

Common StockSEC Table I · non-derivativeIndirectBy ARCH Venture Fund X Overage, L.P.6,128,297 Reported balance Holding disclosure · report date 2025-08-01 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 6,128,297

F2: Represents shares held directly by ARCH Venture Fund X Overage, L.P. ("ARCH X Overage"). ARCH Venture Partners X Overage, L.P. ("AVP X Overage LP") is the sole general partner of ARCH X Overage.

F3: ARCH Venture Partners X, LLC ("AVP X LLC") is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the "AVP X Committee Members"). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Represents shares held directly by ARCH Venture Fund X, L.P. ("ARCH X"). ARCH Venture Partners X, L.P. ("AVP X LP") is the sole general partner of ARCH X.

F2: Represents shares held directly by ARCH Venture Fund X Overage, L.P. ("ARCH X Overage"). ARCH Venture Partners X Overage, L.P. ("AVP X Overage LP") is the sole general partner of ARCH X Overage.

F3: ARCH Venture Partners X, LLC ("AVP X LLC") is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the "AVP X Committee Members"). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that such shares are beneficially owned by them for Section 16 or any other purpose.

F4: Represents shares held directly by ARCH Venture Fund XII, L.P. ("ARCH XII"). ARCH Venture Partners XII, L.P. ("AVP XII LP") is the general partner of ARCH XII. ARCH Venture Partners XII, LLC ("AVP XII LLC") is the general partner of AVP XII LP. Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP XII LLC (the "AVP XII LLC Committee Members"). Each of AVP XII LP and AVP XII LLC may be deemed to beneficially own the shares held by ARCH XII, and each of the AVP XII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XII. Each of AVP XII LP, AVP XII LLC and the AVP XII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Q32 Bio Inc.

Report date June 14, 2023 · Filed June 15, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.03 · Expires 2023-06-14Direct23,000 Reported balance After 2023-06-14 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2023-06-14 · Grant · Acquired 23,000 · Balance 23,000

F1: This option shall vest and become exercisable on the earlier of June 14, 2024 or the day immediately prior to the date of the Issuer's next annual meeting of stockholders occurring after the date of grant, in either case subject to the Reporting Person continuing in service on the Board as a Non-Employee Director through such vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: This option shall vest and become exercisable on the earlier of June 14, 2024 or the day immediately prior to the date of the Issuer's next annual meeting of stockholders occurring after the date of grant, in either case subject to the Reporting Person continuing in service on the Board as a Non-Employee Director through such vesting date.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy ARCH Venture Fund XII, L.P.3,728,738 Reported balance After 2024-06-10 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2024-06-10 · Conversion · Acquired 3,728,738 · Balance 3,728,738

F1: Upon the closing of the Issuer's initial public offering, each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a one-for-8.5648 basis without payment of consideration. The Preferred Stock had no expiration date.

F2: Shares held directly by ARCH Venture Fund XII, L.P. ("ARCH XII"). ARCH Venture Partners XII, L.P. ("AVP XII LP") is the sole general partner of ARCH XII. ARCH Venture Partners XII, LLC ("AVP XII LLC") is the sole general partner of AVP XII LP. Keith Crandell, Kristina Burow, Steven Gillis and Robert Nelsen are members of the investment committee of AVP XII LLC (the "AVP XII LLC Committee Members"). Each of AVP XII LP and AVP XII LLC may be deemed to beneficially own the shares held by ARCH XII, and each of the AVP XII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XII. Each of AVP XII LP, AVP XII LLC and the AVP XII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectBy ARCH Venture Fund XII, L.P.0 Reported balance After 2024-06-10 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2024-06-10 · Conversion · Disposed 20,000,000 · Balance 0

F1: Upon the closing of the Issuer's initial public offering, each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a one-for-8.5648 basis without payment of consideration. The Preferred Stock had no expiration date.

F2: Shares held directly by ARCH Venture Fund XII, L.P. ("ARCH XII"). ARCH Venture Partners XII, L.P. ("AVP XII LP") is the sole general partner of ARCH XII. ARCH Venture Partners XII, LLC ("AVP XII LLC") is the sole general partner of AVP XII LP. Keith Crandell, Kristina Burow, Steven Gillis and Robert Nelsen are members of the investment committee of AVP XII LLC (the "AVP XII LLC Committee Members"). Each of AVP XII LP and AVP XII LLC may be deemed to beneficially own the shares held by ARCH XII, and each of the AVP XII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XII. Each of AVP XII LP, AVP XII LLC and the AVP XII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectBy ARCH Venture Fund XII, L.P.0 Reported balance After 2024-06-10 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2024-06-10 · Conversion · Disposed 11,924,138 · Balance 0

F1: Upon the closing of the Issuer's initial public offering, each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a one-for-8.5648 basis without payment of consideration. The Preferred Stock had no expiration date.

F2: Shares held directly by ARCH Venture Fund XII, L.P. ("ARCH XII"). ARCH Venture Partners XII, L.P. ("AVP XII LP") is the sole general partner of ARCH XII. ARCH Venture Partners XII, LLC ("AVP XII LLC") is the sole general partner of AVP XII LP. Keith Crandell, Kristina Burow, Steven Gillis and Robert Nelsen are members of the investment committee of AVP XII LLC (the "AVP XII LLC Committee Members"). Each of AVP XII LP and AVP XII LLC may be deemed to beneficially own the shares held by ARCH XII, and each of the AVP XII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XII. Each of AVP XII LP, AVP XII LLC and the AVP XII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Upon the closing of the Issuer's initial public offering, each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a one-for-8.5648 basis without payment of consideration. The Preferred Stock had no expiration date.

F2: Shares held directly by ARCH Venture Fund XII, L.P. ("ARCH XII"). ARCH Venture Partners XII, L.P. ("AVP XII LP") is the sole general partner of ARCH XII. ARCH Venture Partners XII, LLC ("AVP XII LLC") is the sole general partner of AVP XII LP. Keith Crandell, Kristina Burow, Steven Gillis and Robert Nelsen are members of the investment committee of AVP XII LLC (the "AVP XII LLC Committee Members"). Each of AVP XII LP and AVP XII LLC may be deemed to beneficially own the shares held by ARCH XII, and each of the AVP XII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XII. Each of AVP XII LP, AVP XII LLC and the AVP XII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Sana Biotechnology, Inc.

Report date February 08, 2024 · Filed February 12, 2024

Jointly reported with CRANDELL KEITH, BYBEE CLINTON, Burow Kristina

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote10,667,387 Reported balance After 2024-02-08 transaction · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · 2024-02-08 · Purchase · Acquired 363,637 · Balance 10,667,387

F1: Represents shares held directly by ARCH Venture Fund IX, L.P. (ARCH IX). ARCH Venture Partners IX, L.P. (AVP IX LP) is the sole general partner of ARCH IX.

F3: ARCH Venture Partners IX, LLC (AVP IX LLC) is the sole general partner of each of AVP IX LP and AVP IX Overage LP. Keith Crandell and Clinton Bybee are managing directors of AVP IX LLC (the AVP IX MDs). AVP IX LP and AVP IX Overage LP may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, respectively, AVP IX LLC may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, and each of the AVP IX MDs may be deemed to share the power to direct the disposition and vote of the shares held by ARCH IX and ARCH IX Overage. AVP IX LP, AVP IX Overage LP, AVP IX LLC, and the AVP IX MDs each disclaim beneficial ownership except to to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote12,446,022 Reported balance After 2024-02-08 transaction · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · 2024-02-08 · Purchase · Acquired 727,272 · Balance 12,446,022

F4: Represents shares held directly by ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH X.

F6: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote12,446,022 Reported balance After 2024-02-08 transaction · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · 2024-02-08 · Purchase · Acquired 727,272 · Balance 12,446,022

F5: Represents shares held directly by ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH X Overage.

F6: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote10,301,250 Reported balance Holding disclosure · report date 2024-02-08 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 10,301,250

F2: Represents shares held directly by ARCH Venture Fund IX Overage, L.P. (ARCH IX Overage). ARCH Venture Partners IX Overage, L.P. (AVP IX Overage LP) is the sole general partner of ARCH IX Overage.

F3: ARCH Venture Partners IX, LLC (AVP IX LLC) is the sole general partner of each of AVP IX LP and AVP IX Overage LP. Keith Crandell and Clinton Bybee are managing directors of AVP IX LLC (the AVP IX MDs). AVP IX LP and AVP IX Overage LP may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, respectively, AVP IX LLC may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, and each of the AVP IX MDs may be deemed to share the power to direct the disposition and vote of the shares held by ARCH IX and ARCH IX Overage. AVP IX LP, AVP IX Overage LP, AVP IX LLC, and the AVP IX MDs each disclaim beneficial ownership except to to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Represents shares held directly by ARCH Venture Fund IX, L.P. (ARCH IX). ARCH Venture Partners IX, L.P. (AVP IX LP) is the sole general partner of ARCH IX.

F2: Represents shares held directly by ARCH Venture Fund IX Overage, L.P. (ARCH IX Overage). ARCH Venture Partners IX Overage, L.P. (AVP IX Overage LP) is the sole general partner of ARCH IX Overage.

F3: ARCH Venture Partners IX, LLC (AVP IX LLC) is the sole general partner of each of AVP IX LP and AVP IX Overage LP. Keith Crandell and Clinton Bybee are managing directors of AVP IX LLC (the AVP IX MDs). AVP IX LP and AVP IX Overage LP may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, respectively, AVP IX LLC may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, and each of the AVP IX MDs may be deemed to share the power to direct the disposition and vote of the shares held by ARCH IX and ARCH IX Overage. AVP IX LP, AVP IX Overage LP, AVP IX LLC, and the AVP IX MDs each disclaim beneficial ownership except to to the extent of any pecuniary interest therein.

F4: Represents shares held directly by ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH X.

F5: Represents shares held directly by ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH X Overage.

F6: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy ARCH Venture Fund XII, L.P.6,294,951 Last balance in matching sequence After 2026-05-04 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2026-05-04 · Conversion · Acquired 2,513,686 · Balance 2,513,686

F1: Each share of Series A-2 and Series B Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock of the Issuer on a one-for-3.1407 basis at the option of the holder, and automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration. The Preferred Stock had no expiration date.

F2: Shares held directly by ARCH Venture Fund XII, L.P. ("ARCH XII"). ARCH Venture Partners XII, L.P. ("AVP XII LP") is the sole general partner of ARCH XII. ARCH Venture Partners XII, LLC ("AVP XII LLC") is the sole general partner of AVP XII LP. Keith Crandell, Kristina Burow, Steven Gillis and Robert Nelsen are members of the investment committee of AVP XII LLC (the "AVP XII LLC Committee Members"). Each of AVP XII LP and AVP XII LLC may be deemed to beneficially own the shares held by ARCH XII, and each of the AVP XII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XII. Each of AVP XII LP, AVP XII LLC and the AVP XII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Row 2 · 2026-05-04 · Conversion · Acquired 2,681,265 · Balance 5,194,951

F1: Each share of Series A-2 and Series B Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock of the Issuer on a one-for-3.1407 basis at the option of the holder, and automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration. The Preferred Stock had no expiration date.

F2: Shares held directly by ARCH Venture Fund XII, L.P. ("ARCH XII"). ARCH Venture Partners XII, L.P. ("AVP XII LP") is the sole general partner of ARCH XII. ARCH Venture Partners XII, LLC ("AVP XII LLC") is the sole general partner of AVP XII LP. Keith Crandell, Kristina Burow, Steven Gillis and Robert Nelsen are members of the investment committee of AVP XII LLC (the "AVP XII LLC Committee Members"). Each of AVP XII LP and AVP XII LLC may be deemed to beneficially own the shares held by ARCH XII, and each of the AVP XII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XII. Each of AVP XII LP, AVP XII LLC and the AVP XII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Row 3 · 2026-05-04 · Purchase · Acquired 1,100,000 · Balance 6,294,951

F2: Shares held directly by ARCH Venture Fund XII, L.P. ("ARCH XII"). ARCH Venture Partners XII, L.P. ("AVP XII LP") is the sole general partner of ARCH XII. ARCH Venture Partners XII, LLC ("AVP XII LLC") is the sole general partner of AVP XII LP. Keith Crandell, Kristina Burow, Steven Gillis and Robert Nelsen are members of the investment committee of AVP XII LLC (the "AVP XII LLC Committee Members"). Each of AVP XII LP and AVP XII LLC may be deemed to beneficially own the shares held by ARCH XII, and each of the AVP XII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XII. Each of AVP XII LP, AVP XII LLC and the AVP XII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Series A-2 Preferred StockSEC Table II · derivative / convertible securityIndirectBy ARCH Venture Fund XII, L.P.0 Reported balance After 2026-05-04 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2026-05-04 · Conversion · Disposed 2,513,686 · Balance 0

F1: Each share of Series A-2 and Series B Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock of the Issuer on a one-for-3.1407 basis at the option of the holder, and automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration. The Preferred Stock had no expiration date.

F2: Shares held directly by ARCH Venture Fund XII, L.P. ("ARCH XII"). ARCH Venture Partners XII, L.P. ("AVP XII LP") is the sole general partner of ARCH XII. ARCH Venture Partners XII, LLC ("AVP XII LLC") is the sole general partner of AVP XII LP. Keith Crandell, Kristina Burow, Steven Gillis and Robert Nelsen are members of the investment committee of AVP XII LLC (the "AVP XII LLC Committee Members"). Each of AVP XII LP and AVP XII LLC may be deemed to beneficially own the shares held by ARCH XII, and each of the AVP XII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XII. Each of AVP XII LP, AVP XII LLC and the AVP XII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectBy ARCH Venture Fund XII, L.P.0 Reported balance After 2026-05-04 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2026-05-04 · Conversion · Disposed 2,681,265 · Balance 0

F1: Each share of Series A-2 and Series B Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock of the Issuer on a one-for-3.1407 basis at the option of the holder, and automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration. The Preferred Stock had no expiration date.

F2: Shares held directly by ARCH Venture Fund XII, L.P. ("ARCH XII"). ARCH Venture Partners XII, L.P. ("AVP XII LP") is the sole general partner of ARCH XII. ARCH Venture Partners XII, LLC ("AVP XII LLC") is the sole general partner of AVP XII LP. Keith Crandell, Kristina Burow, Steven Gillis and Robert Nelsen are members of the investment committee of AVP XII LLC (the "AVP XII LLC Committee Members"). Each of AVP XII LP and AVP XII LLC may be deemed to beneficially own the shares held by ARCH XII, and each of the AVP XII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XII. Each of AVP XII LP, AVP XII LLC and the AVP XII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series A-2 and Series B Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock of the Issuer on a one-for-3.1407 basis at the option of the holder, and automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration. The Preferred Stock had no expiration date.

F2: Shares held directly by ARCH Venture Fund XII, L.P. ("ARCH XII"). ARCH Venture Partners XII, L.P. ("AVP XII LP") is the sole general partner of ARCH XII. ARCH Venture Partners XII, LLC ("AVP XII LLC") is the sole general partner of AVP XII LP. Keith Crandell, Kristina Burow, Steven Gillis and Robert Nelsen are members of the investment committee of AVP XII LLC (the "AVP XII LLC Committee Members"). Each of AVP XII LP and AVP XII LLC may be deemed to beneficially own the shares held by ARCH XII, and each of the AVP XII LLC Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH XII. Each of AVP XII LP, AVP XII LLC and the AVP XII LLC Committee Members disclaims beneficial ownership except to the extent of their pecuniary interest therein, if any.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote2,900,575 Reported balance After 2019-02-22 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2019-02-22 · Purchase · Acquired 150,000 · Balance 2,900,575

F1: Following the transactions reported herein, includes 1,032,493 shares of common stock held of record by ARCH Venture Fund VIII Overage, L.P. ("ARCH Fund Overage"), 2,900,575 shares of common stock held of record by ARCH Venture Fund VIII, L.P. ("ARCH Fund VIII"), and 1,865,800 shares of common stock held of record by ARCH Venture Fund X Overage, L.P. ("ARCH X Overage").

F2: The sole general partner of ARCH Fund VIII is ARCH Venture Partners VIII, L.P. ("ARCH Partners VIII"). The sole general partner of ARCH Partners VIII and ARCH Fund Overage is ARCH Venture Partners VIII, LLC ("ARCH VIII LLC"). ARCH Partners VIII may therefore be deemed to beneficially own the securities held by ARCH Fund VIII and ARCH VIII LLC may be deemed to beneficially own the securities held by ARCH Fund VIII and ARCH Fund Overage. ARCH Partners VIII and ARCH VIII LLC disclaim beneficial ownership of such securities, except to the extent of any pecuniary interest therein. The managing directors of ARCH VIII LLC are Keith L. Crandell, Clinton Bybee and Robert Nelsen, and they may be deemed to beneficially own the shares held by ARCH Fund VIII and ARCH Fund Overage. Messrs. Crandell, Bybee and Nelsen disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnote1,032,493 Reported balance After 2019-02-22 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2019-02-22 · Purchase · Acquired 150,000 · Balance 1,032,493

F1: Following the transactions reported herein, includes 1,032,493 shares of common stock held of record by ARCH Venture Fund VIII Overage, L.P. ("ARCH Fund Overage"), 2,900,575 shares of common stock held of record by ARCH Venture Fund VIII, L.P. ("ARCH Fund VIII"), and 1,865,800 shares of common stock held of record by ARCH Venture Fund X Overage, L.P. ("ARCH X Overage").

F2: The sole general partner of ARCH Fund VIII is ARCH Venture Partners VIII, L.P. ("ARCH Partners VIII"). The sole general partner of ARCH Partners VIII and ARCH Fund Overage is ARCH Venture Partners VIII, LLC ("ARCH VIII LLC"). ARCH Partners VIII may therefore be deemed to beneficially own the securities held by ARCH Fund VIII and ARCH VIII LLC may be deemed to beneficially own the securities held by ARCH Fund VIII and ARCH Fund Overage. ARCH Partners VIII and ARCH VIII LLC disclaim beneficial ownership of such securities, except to the extent of any pecuniary interest therein. The managing directors of ARCH VIII LLC are Keith L. Crandell, Clinton Bybee and Robert Nelsen, and they may be deemed to beneficially own the shares held by ARCH Fund VIII and ARCH Fund Overage. Messrs. Crandell, Bybee and Nelsen disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnote1,865,800 Reported balance After 2019-02-22 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2019-02-22 · Purchase · Acquired 1,865,800 · Balance 1,865,800

F1: Following the transactions reported herein, includes 1,032,493 shares of common stock held of record by ARCH Venture Fund VIII Overage, L.P. ("ARCH Fund Overage"), 2,900,575 shares of common stock held of record by ARCH Venture Fund VIII, L.P. ("ARCH Fund VIII"), and 1,865,800 shares of common stock held of record by ARCH Venture Fund X Overage, L.P. ("ARCH X Overage").

F3: The sole general Partner of ARCH X Overage is ARCH Venture Partners X Overage, L.P. ("AVP X Over GP"). The sole general partner of AVP X Over GP is ARCH Venture Partners X, LLC ("AVP X LLC"). AVP X Over LP and AVP X LLC may therefore be deemed to beneficially own the securities held by ARCH X Overage. AVP X Over GP and AVP X LLC disclaim beneficial ownership of such securities, except to the extent of any pecuniary interest therein. Keith L. Crandell, Robert Nelsen and Steven Gillis are managing directors of AVP X LLC, and they may be deemed to beneficially own the shares held by ARCH X Overage. Messrs. Crandell, Nelsen and Gillis disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Following the transactions reported herein, includes 1,032,493 shares of common stock held of record by ARCH Venture Fund VIII Overage, L.P. ("ARCH Fund Overage"), 2,900,575 shares of common stock held of record by ARCH Venture Fund VIII, L.P. ("ARCH Fund VIII"), and 1,865,800 shares of common stock held of record by ARCH Venture Fund X Overage, L.P. ("ARCH X Overage").

F2: The sole general partner of ARCH Fund VIII is ARCH Venture Partners VIII, L.P. ("ARCH Partners VIII"). The sole general partner of ARCH Partners VIII and ARCH Fund Overage is ARCH Venture Partners VIII, LLC ("ARCH VIII LLC"). ARCH Partners VIII may therefore be deemed to beneficially own the securities held by ARCH Fund VIII and ARCH VIII LLC may be deemed to beneficially own the securities held by ARCH Fund VIII and ARCH Fund Overage. ARCH Partners VIII and ARCH VIII LLC disclaim beneficial ownership of such securities, except to the extent of any pecuniary interest therein. The managing directors of ARCH VIII LLC are Keith L. Crandell, Clinton Bybee and Robert Nelsen, and they may be deemed to beneficially own the shares held by ARCH Fund VIII and ARCH Fund Overage. Messrs. Crandell, Bybee and Nelsen disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

F3: The sole general Partner of ARCH X Overage is ARCH Venture Partners X Overage, L.P. ("AVP X Over GP"). The sole general partner of AVP X Over GP is ARCH Venture Partners X, LLC ("AVP X LLC"). AVP X Over LP and AVP X LLC may therefore be deemed to beneficially own the securities held by ARCH X Overage. AVP X Over GP and AVP X LLC disclaim beneficial ownership of such securities, except to the extent of any pecuniary interest therein. Keith L. Crandell, Robert Nelsen and Steven Gillis are managing directors of AVP X LLC, and they may be deemed to beneficially own the shares held by ARCH X Overage. Messrs. Crandell, Nelsen and Gillis disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

TAKEDA PHARMACEUTICAL CO LTD

Report date July 01, 2026 · Filed July 06, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Ordinary SharesSEC Table I · non-derivativeDirect10,400 Reported balance After 2026-07-01 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2026-07-01 · Grant · Acquired 3,800 · Balance 10,400

F1: Represents an award of restricted stock units (RSU). Each RSU represents a contingent right to receive one Ordinary Share, which will be converted into an equivalent number of American Depositary Shares following vest. The RSUs vest on June 1, 2029.

F2: Reflects the conversion of 3,100 Ordinary Shares into 6,200 American Depositary Shares upon vesting of RSUs.

Tax Obligation AwardSEC Table II · derivative / convertible security · Expires 2026-06-01Direct0 Reported balance After 2026-07-10 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2026-07-10 · Disposition to issuer · Disposed 1,152 · Balance 0

F3: Each Tax Obligation Award was the economic equivalent of one Ordinary Share that, upon vest, was converted into to a cash payment primarily to cover tax obligations. Any remaining proceeds from the disposition of the associated Ordinary Shares will be delivered to the reporting person on July 10.

F4: The price reported in Column 8 is a weighted average price denominated in Yen. These shares were sold in transactions at prices ranging from JPY 4,883 to JPY 5,045, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Tax Obligation AwardSEC Table II · derivative / convertible security · Expires 2029-06-01Direct1,319 Reported balance After 2026-07-01 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2026-07-01 · Grant · Acquired 1,319 · Balance 1,319

F5: Each Tax Obligation Award is the economic equivalent of one Ordinary Share that, upon vest, will be converted to a cash payment primarily to cover tax obligations at the then-current market price of the Ordinary Shares.

American Depositary SharesSEC Table I · non-derivativeDirect22,057 Reported balance Holding disclosure · report date 2026-07-01 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 22,057

F2: Reflects the conversion of 3,100 Ordinary Shares into 6,200 American Depositary Shares upon vesting of RSUs.

Filing footnotes · ownership attribution and instrument terms

F1: Represents an award of restricted stock units (RSU). Each RSU represents a contingent right to receive one Ordinary Share, which will be converted into an equivalent number of American Depositary Shares following vest. The RSUs vest on June 1, 2029.

F2: Reflects the conversion of 3,100 Ordinary Shares into 6,200 American Depositary Shares upon vesting of RSUs.

F3: Each Tax Obligation Award was the economic equivalent of one Ordinary Share that, upon vest, was converted into to a cash payment primarily to cover tax obligations. Any remaining proceeds from the disposition of the associated Ordinary Shares will be delivered to the reporting person on July 10.

F4: The price reported in Column 8 is a weighted average price denominated in Yen. These shares were sold in transactions at prices ranging from JPY 4,883 to JPY 5,045, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F5: Each Tax Obligation Award is the economic equivalent of one Ordinary Share that, upon vest, will be converted to a cash payment primarily to cover tax obligations at the then-current market price of the Ordinary Shares.

VBI VACCINES INC.

Report date September 19, 2019 · Filed September 23, 2019

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Shares, no par value per shareSEC Table I · non-derivativeIndirectSee Footnotes13,026,057 Reported balance After 2019-09-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-09-19 · Purchase · Acquired 10,000,000 · Balance 13,026,057

F1: Includes 3,026,057 common shares held of record by ARCH Venture Fund VI, L.P. ("ARCH VI") and 10,000,000 common shares held of record by ARCH Venture Fund X Overage, L.P. (the "ARCH Overage"). ARCH Venture Partners VI, L.P. (the "ARCH GPLP"), as the sole general partner of ARCH VI, may be deemed to beneficially own certain of the shares held of record by ARCH VI. The ARCH GPLP disclaims beneficial ownership of all shares held of record by ARCH VI in which the ARCH GPLP does not have an actual pecuniary interest. ARCH Venture Partners VI, LLC (the "ARCH GPLLC"), as the sole general partner of the ARCH GPLP, may be deemed to beneficially own certain of the shares held of record by ARCH VI. The ARCH GPLLC disclaims beneficial ownership of all shares held of record by ARCH GPLP in which the ARCH GPLLC does not have an actual pecuniary interest.

F2: ARCH Venture Partners X Overage, L.P. (the "Overage GPLP"), as the sole general partner of ARCH Overage, may be deemed to beneficially own certain of the shares held of record by ARCH Overage. The Overage GPLP disclaims beneficial ownership of all shares held of record by ARCH Overage in which the Overage GPLP does not have an actual pecuniary interest. ARCH Venture Partners X, LLC (the "Overage GPLLC"), as the sole general partner of the Overage GPLP, may be deemed to beneficially own certain of the shares held of record by ARCH Overage. The Overage GPLLC disclaims beneficial ownership of all shares held of record by Overage GPLP in which the Overage GPLLC does not have an actual pecuniary interest.

F3: The reporting person owns an interest in ARCH GPLP but does not have voting or investment control over the shares held by ARCH VI, and disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. The reporting person owns an interest in Overage GPLP and may be deemed to have voting and investment control over the shares held by ARCH Overage as member of the investment committee of Overage GPLLC, but disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Common Shares, no par value per shareSEC Table I · non-derivativeDirect84,416 Reported balance Holding disclosure · report date 2019-09-19 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 84,416

Filing footnotes · ownership attribution and instrument terms

F1: Includes 3,026,057 common shares held of record by ARCH Venture Fund VI, L.P. ("ARCH VI") and 10,000,000 common shares held of record by ARCH Venture Fund X Overage, L.P. (the "ARCH Overage"). ARCH Venture Partners VI, L.P. (the "ARCH GPLP"), as the sole general partner of ARCH VI, may be deemed to beneficially own certain of the shares held of record by ARCH VI. The ARCH GPLP disclaims beneficial ownership of all shares held of record by ARCH VI in which the ARCH GPLP does not have an actual pecuniary interest. ARCH Venture Partners VI, LLC (the "ARCH GPLLC"), as the sole general partner of the ARCH GPLP, may be deemed to beneficially own certain of the shares held of record by ARCH VI. The ARCH GPLLC disclaims beneficial ownership of all shares held of record by ARCH GPLP in which the ARCH GPLLC does not have an actual pecuniary interest.

F2: ARCH Venture Partners X Overage, L.P. (the "Overage GPLP"), as the sole general partner of ARCH Overage, may be deemed to beneficially own certain of the shares held of record by ARCH Overage. The Overage GPLP disclaims beneficial ownership of all shares held of record by ARCH Overage in which the Overage GPLP does not have an actual pecuniary interest. ARCH Venture Partners X, LLC (the "Overage GPLLC"), as the sole general partner of the Overage GPLP, may be deemed to beneficially own certain of the shares held of record by ARCH Overage. The Overage GPLLC disclaims beneficial ownership of all shares held of record by Overage GPLP in which the Overage GPLLC does not have an actual pecuniary interest.

F3: The reporting person owns an interest in ARCH GPLP but does not have voting or investment control over the shares held by ARCH VI, and disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. The reporting person owns an interest in Overage GPLP and may be deemed to have voting and investment control over the shares held by ARCH Overage as member of the investment committee of Overage GPLLC, but disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

VBI Vaccines Inc/BC

Report date July 27, 2023 · Filed July 28, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Option (Right to Buy Common Shares)SEC Table II · derivative / convertible security · Conversion / exercise price $1.30 · Expires 2033-07-27Direct52,500 Reported balance After 2023-07-27 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2023-07-27 · Grant · Acquired 52,500 · Balance 52,500

F1: The reporting person is a participant in the Issuer's Incentive Plan (the "Plan"). The board of directors of the Issuer approved the option grant on July 27, 2023 (the "Grant Date"). The options were granted pursuant to that certain option agreement entered into by and between the Issuer and the reporting person, dated July 27, 2023 (the "Option Agreement"). The options vest and become exercisable in 12 equal monthly installments beginning on the first day of the month following the Grant Date, subject to the reporting person's employment on the relevant vesting date.

F2: The options expire 10 years from the Grant Date unless terminated sooner in accordance with the Plan or the Option Agreement.

Filing footnotes · ownership attribution and instrument terms

F1: The reporting person is a participant in the Issuer's Incentive Plan (the "Plan"). The board of directors of the Issuer approved the option grant on July 27, 2023 (the "Grant Date"). The options were granted pursuant to that certain option agreement entered into by and between the Issuer and the reporting person, dated July 27, 2023 (the "Option Agreement"). The options vest and become exercisable in 12 equal monthly installments beginning on the first day of the month following the Grant Date, subject to the reporting person's employment on the relevant vesting date.

F2: The options expire 10 years from the Grant Date unless terminated sooner in accordance with the Plan or the Option Agreement.

Past disclosures · reporting ended (4)

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

Section 16 reporting ended · disclosed 2021-07-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy ARCH Venture Fund X, L.P.5,527,777 Reported balance After 2021-07-20 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-07-20 · Conversion · Acquired 5,527,777 · Balance 5,527,777

F1: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy ARCH Venture Fund X Overage, L.P.5,527,777 Reported balance After 2021-07-20 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2021-07-20 · Conversion · Acquired 5,527,777 · Balance 5,527,777

F1: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Series A Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectBy ARCH Venture Fund X, L.P.0 Reported balance After 2021-07-20 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2021-07-20 · Conversion · Disposed 2,100,000 · Balance 0

F1: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Series A Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectBy ARCH Venture Fund X Overage, L.P.0 Reported balance After 2021-07-20 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2021-07-20 · Conversion · Disposed 2,100,000 · Balance 0

F1: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Series B-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectBy ARCH Venture Fund X, L.P.0 Reported balance After 2021-07-20 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2021-07-20 · Conversion · Disposed 3,400,000 · Balance 0

F1: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Series B-2 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectBy ARCH Venture Fund X, L.P.0 Reported balance After 2021-07-20 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2021-07-20 · Conversion · Disposed 1,133,333 · Balance 0

F1: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Series B-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectBy ARCH Venture Fund X Overage, L.P.0 Reported balance After 2021-07-20 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2021-07-20 · Conversion · Disposed 3,400,000 · Balance 0

F1: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Series B-2 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectBy ARCH Venture Fund X Overage, L.P.0 Reported balance After 2021-07-20 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2021-07-20 · Conversion · Disposed 1,133,333 · Balance 0

F1: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Section 16 reporting ended · disclosed 2025-11-14. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2025-11-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2025-11-13 · Disposition to issuer · Disposed 18,503,128 · Balance 0

F1: Pursuant to the Agreement and Plan of Merger dated September 21, 2025, as amended on November 7, 2025 (the "Merger Agreement"), by and among Metsera, Inc. (the "Company"), Pfizer Inc., a Delaware corporation ("Parent"), and Mayfair Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of the Parent (the "Merger Sub"), the Merger Sub merged with and into the Company, with the Company continuing as the surviving corporation and a wholly owned subsidiary of the Parent (the "Merger"). At the Effective Time of the Merger (as defined in the Merger Agreement), each issued and outstanding share of common stock, par value $0.00001 per share of the Company (the "Common Stock") was converted automatically into the right to receive (i) cash in an amount equal to $65.60 per share without interest (the "Closing Amount"), net of all applicable withholding taxes, plus

F2: (Continued from footnote 1) (ii) one contractual contingent value right representing the right to receive contingent payments (a "CVR") in cash, without interest, upon the achievement of certain specified milestones, in accordance with the terms and conditions of the contingent value rights agreement entered into by the Parent and Equiniti Trust Company, LLC, dated November 13, 2025 (collectively, the "Merger Consideration").

F3: Represents shares held directly by ARCH Venture Fund XII, L.P ("ARCH Venture Fund XII"). ARCH Venture Partners XII, L.P. ("AVP XII LP"), as the sole general partner of ARCH Venture Fund XII, may be deemed to beneficially own the shares held by ARCH Venture Fund XII. ARCH Venture Partners XII, LLC ("AVP XII LLC"), as the sole general partner of AVP XII LP, may be deemed to beneficially own the shares held by ARCH Venture Fund XII. AVP XII LP and AVP XII LLC disclaim beneficial ownership except to the extent of any pecuniary interest therein. As members of the investment committee of AVP XII LLC, each of Kristina M. Burow, Keith Crandell, Steven Gillis and Robert Nelsen (the "AVP XII Committee Members") may also be deemed to share the power to direct the disposition and vote of the ARCH Venture Fund XII shares. Each AVP XII Committee Member disclaims beneficial ownership except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2025-11-13 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2025-11-13 · Disposition to issuer · Disposed 8,313,680 · Balance 0

F1: Pursuant to the Agreement and Plan of Merger dated September 21, 2025, as amended on November 7, 2025 (the "Merger Agreement"), by and among Metsera, Inc. (the "Company"), Pfizer Inc., a Delaware corporation ("Parent"), and Mayfair Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of the Parent (the "Merger Sub"), the Merger Sub merged with and into the Company, with the Company continuing as the surviving corporation and a wholly owned subsidiary of the Parent (the "Merger"). At the Effective Time of the Merger (as defined in the Merger Agreement), each issued and outstanding share of common stock, par value $0.00001 per share of the Company (the "Common Stock") was converted automatically into the right to receive (i) cash in an amount equal to $65.60 per share without interest (the "Closing Amount"), net of all applicable withholding taxes, plus

F2: (Continued from footnote 1) (ii) one contractual contingent value right representing the right to receive contingent payments (a "CVR") in cash, without interest, upon the achievement of certain specified milestones, in accordance with the terms and conditions of the contingent value rights agreement entered into by the Parent and Equiniti Trust Company, LLC, dated November 13, 2025 (collectively, the "Merger Consideration").

F4: Represents shares held directly by ARCH Venture Fund XIII, L.P. ("ARCH Venture Fund XIII"). ARCH Venture Partners XIII, L.P. ("AVP XIII LP"), as the sole general partner of ARCH Venture Fund XIII, may be deemed to beneficially own the shares held by ARCH Venture Fund XIII. ARCH Venture Partners XIII, LLC ("AVP XIII LLC"), as the sole general partner of AVP XIII LP, may be deemed to beneficially own the shares held by ARCH Venture Fund XIII. AVP XIII LP and AVP XIII LLC disclaim beneficial ownership except to the extent of any pecuniary interest therein. As members of the investment committee of AVP XIII LLC, each of Paul L. Berns, Kristina M. Burow, Keith Crandell and Robert Nelsen (the "AVP XIII Committee Members") may also be deemed to share the power to direct the disposition and vote of the ARCH Venture Fund XIII shares. Each AVP XIII Committee Member disclaims beneficial ownership except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger dated September 21, 2025, as amended on November 7, 2025 (the "Merger Agreement"), by and among Metsera, Inc. (the "Company"), Pfizer Inc., a Delaware corporation ("Parent"), and Mayfair Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of the Parent (the "Merger Sub"), the Merger Sub merged with and into the Company, with the Company continuing as the surviving corporation and a wholly owned subsidiary of the Parent (the "Merger"). At the Effective Time of the Merger (as defined in the Merger Agreement), each issued and outstanding share of common stock, par value $0.00001 per share of the Company (the "Common Stock") was converted automatically into the right to receive (i) cash in an amount equal to $65.60 per share without interest (the "Closing Amount"), net of all applicable withholding taxes, plus

F2: (Continued from footnote 1) (ii) one contractual contingent value right representing the right to receive contingent payments (a "CVR") in cash, without interest, upon the achievement of certain specified milestones, in accordance with the terms and conditions of the contingent value rights agreement entered into by the Parent and Equiniti Trust Company, LLC, dated November 13, 2025 (collectively, the "Merger Consideration").

F3: Represents shares held directly by ARCH Venture Fund XII, L.P ("ARCH Venture Fund XII"). ARCH Venture Partners XII, L.P. ("AVP XII LP"), as the sole general partner of ARCH Venture Fund XII, may be deemed to beneficially own the shares held by ARCH Venture Fund XII. ARCH Venture Partners XII, LLC ("AVP XII LLC"), as the sole general partner of AVP XII LP, may be deemed to beneficially own the shares held by ARCH Venture Fund XII. AVP XII LP and AVP XII LLC disclaim beneficial ownership except to the extent of any pecuniary interest therein. As members of the investment committee of AVP XII LLC, each of Kristina M. Burow, Keith Crandell, Steven Gillis and Robert Nelsen (the "AVP XII Committee Members") may also be deemed to share the power to direct the disposition and vote of the ARCH Venture Fund XII shares. Each AVP XII Committee Member disclaims beneficial ownership except to the extent of any pecuniary interest therein.

F4: Represents shares held directly by ARCH Venture Fund XIII, L.P. ("ARCH Venture Fund XIII"). ARCH Venture Partners XIII, L.P. ("AVP XIII LP"), as the sole general partner of ARCH Venture Fund XIII, may be deemed to beneficially own the shares held by ARCH Venture Fund XIII. ARCH Venture Partners XIII, LLC ("AVP XIII LLC"), as the sole general partner of AVP XIII LP, may be deemed to beneficially own the shares held by ARCH Venture Fund XIII. AVP XIII LP and AVP XIII LLC disclaim beneficial ownership except to the extent of any pecuniary interest therein. As members of the investment committee of AVP XIII LLC, each of Paul L. Berns, Kristina M. Burow, Keith Crandell and Robert Nelsen (the "AVP XIII Committee Members") may also be deemed to share the power to direct the disposition and vote of the ARCH Venture Fund XIII shares. Each AVP XIII Committee Member disclaims beneficial ownership except to the extent of any pecuniary interest therein.

Pulmatrix, Inc.

Report date August 28, 2020 · Filed September 02, 2020

Section 16 reporting ended · disclosed 2020-09-02. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $118.00 · Expires 2025-06-16Direct0 Reported balance After 2020-08-28 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2020-08-28 · Disposition to issuer · Disposed 1,771 · Balance 0

F9: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

F1: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 16, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $118.00 · Expires 2021-09-01Direct1,771 Reported balance After 2020-08-28 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2020-08-28 · Grant · Acquired 1,771 · Balance 1,771

F1: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 16, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $110.00 · Expires 2025-06-24Direct0 Reported balance After 2020-08-28 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2020-08-28 · Disposition to issuer · Disposed 111 · Balance 0

F9: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

F2: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 24, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $110.00 · Expires 2021-09-01Direct111 Reported balance After 2020-08-28 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2020-08-28 · Grant · Acquired 111 · Balance 111

F2: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 24, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $28.00 · Expires 2026-02-03Direct0 Reported balance After 2020-08-28 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2020-08-28 · Disposition to issuer · Disposed 880 · Balance 0

F9: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

F3: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 3, 2016 and vested 100% on February 3, 2020. The post-termination exercise period was extended to September 1, 2021.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $28.00 · Expires 2021-09-01Direct880 Reported balance After 2020-08-28 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2020-08-28 · Grant · Acquired 880 · Balance 880

F3: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 3, 2016 and vested 100% on February 3, 2020. The post-termination exercise period was extended to September 1, 2021.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $27.80 · Expires 2027-03-20Direct0 Reported balance After 2020-08-28 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2020-08-28 · Disposition to issuer · Disposed 440 · Balance 0

F9: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

F4: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on March 20, 2017 and provided for 25% vesting on March 20, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow March 20, 2018. Vesting was accelerated for 63 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $27.80 · Expires 2021-09-01Direct440 Reported balance After 2020-08-28 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2020-08-28 · Grant · Acquired 440 · Balance 440

F4: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on March 20, 2017 and provided for 25% vesting on March 20, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow March 20, 2018. Vesting was accelerated for 63 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.68 · Expires 2028-06-05Direct0 Reported balance After 2020-08-28 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2020-08-28 · Disposition to issuer · Disposed 12,400 · Balance 0

F9: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

F5: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 5, 2018 and provided for 25% vesting on June 5, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow June 5, 2018. Vesting was accelerated for 2,581 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.68 · Expires 2021-09-01Direct12,400 Reported balance After 2020-08-28 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2020-08-28 · Grant · Acquired 12,400 · Balance 12,400

F5: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 5, 2018 and provided for 25% vesting on June 5, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow June 5, 2018. Vesting was accelerated for 2,581 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.06 · Expires 2029-05-16Direct0 Reported balance After 2020-08-28 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2020-08-28 · Disposition to issuer · Disposed 15,000 · Balance 0

F6: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 16, 2019 and provided for vesting in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019. Vesting was accelerated for 10,313 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.06 · Expires 2021-09-01Direct15,000 Reported balance After 2020-08-28 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2020-08-28 · Grant · Acquired 15,000 · Balance 15,000

F6: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 16, 2019 and provided for vesting in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019. Vesting was accelerated for 10,313 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.54 · Expires 2030-01-09Direct0 Reported balance After 2020-08-28 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2020-08-28 · Disposition to issuer · Disposed 15,000 · Balance 0

F7: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 9, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 12,813 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.54 · Expires 2021-09-01Direct15,000 Reported balance After 2020-08-28 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2020-08-28 · Grant · Acquired 15,000 · Balance 15,000

F7: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 9, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 12,813 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.28 · Expires 2030-04-02Direct0 Reported balance After 2020-08-28 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2020-08-28 · Disposition to issuer · Disposed 10,000 · Balance 0

F8: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on April 2, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 9,167 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.28 · Expires 2021-09-01Direct10,000 Reported balance After 2020-08-28 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · 2020-08-28 · Grant · Acquired 10,000 · Balance 10,000

F8: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on April 2, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 9,167 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

Filing footnotes · ownership attribution and instrument terms

F1: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 16, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

F2: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 24, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

F3: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 3, 2016 and vested 100% on February 3, 2020. The post-termination exercise period was extended to September 1, 2021.

F4: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on March 20, 2017 and provided for 25% vesting on March 20, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow March 20, 2018. Vesting was accelerated for 63 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F5: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 5, 2018 and provided for 25% vesting on June 5, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow June 5, 2018. Vesting was accelerated for 2,581 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F6: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 16, 2019 and provided for vesting in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019. Vesting was accelerated for 10,313 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F7: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 9, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 12,813 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F8: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on April 2, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 9,167 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F9: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $0.001SEC Table I · non-derivativeIndirectARCH Venture Fund X, L.P.1,254,404 Reported balance After 2021-06-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-06-21 · Conversion · Acquired 1,254,404 · Balance 1,254,404

F4: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F1: Represents shares held directly by ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH X.

F3: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Common Stock, par value $0.001SEC Table I · non-derivativeIndirectARCH Venture Fund X Overage, L.P.1,254,405 Reported balance After 2021-06-21 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2021-06-21 · Conversion · Acquired 1,254,405 · Balance 1,254,405

F4: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F2: Represents shares held directly by ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH X Overage.

F3: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Series A Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnotes0 Reported balance After 2021-06-21 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2021-06-21 · Conversion · Disposed 7,107,024 · Balance 0

F4: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F5: The expiration date is not relevant to the conversion of these securities.

F1: Represents shares held directly by ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH X.

F3: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Series A Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnotes0 Reported balance After 2021-06-21 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2021-06-21 · Conversion · Disposed 7,107,023 · Balance 0

F4: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F5: The expiration date is not relevant to the conversion of these securities.

F2: Represents shares held directly by ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH X Overage.

F3: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnotes0 Reported balance After 2021-06-21 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2021-06-21 · Conversion · Disposed 4,508,144 · Balance 0

F4: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F5: The expiration date is not relevant to the conversion of these securities.

F1: Represents shares held directly by ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH X.

F3: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnotes0 Reported balance After 2021-06-21 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2021-06-21 · Conversion · Disposed 4,508,146 · Balance 0

F4: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F5: The expiration date is not relevant to the conversion of these securities.

F2: Represents shares held directly by ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH X Overage.

F3: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Represents shares held directly by ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH X.

F2: Represents shares held directly by ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH X Overage.

F3: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

F4: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F5: The expiration date is not relevant to the conversion of these securities.

Transaction history

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Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 15, 2022 Filed Jun 17, 2022 20:06 UTC Q32 Bio Inc. FIXX · Entity 5594 GrantOption (Right to Buy) · Derivative 18,000 $0.00 Strike: $1.88 $0.00
Disclosure

SEC source: 0000899243-22-023070 · doc4.xml · derivative · entry 1

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: This option shall vest and become exercisable on the earlier of June 15, 2023 or the day immediately prior to the date of the Issuer's next annual meeting of stockholders occurring after the date of grant, in either case subject to the Reporting Person continuing in service on the Board as a Non-Employee Director through such vesting date.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 21:06 UTC Codiak BioSciences, Inc. CDAK · Entity 114958 GrantRestricted Stock Units · Derivative 8,750 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-007013 · doc4.xml · derivative · entry 1

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,750

Underlying: Common Stock · 8,750 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: On February 16, 2022, the reporting person was granted 8,750 restricted stock units, which vest on the first anniversary of the grant date.

F2 · derivative.expiration_date: On February 16, 2022, the reporting person was granted 8,750 restricted stock units, which vest on the first anniversary of the grant date.

Read SEC document
January 27, 2022 Filed Jan 31, 2022 17:52 UTC VBI Vaccines Inc/BC VBIV · Entity 111039 GrantOption (Right to Buy Common Shares) · Derivative 100,000 $0.00 Strike: $1.53 $0.00
Disclosure

SEC source: 0001493152-22-002784 · ownership.xml · derivative · entry 1

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Shares · 100,000 shares

Expires 2032-01-27

F1 · derivative.exercise_date: The reporting person is a participant in the Issuer's Incentive Plan (the "Plan"). The board of directors of the Issuer approved the option grant on January 27, 2022 (the "Grant Date"). The options were granted pursuant to that certain option agreement entered into by and between the Issuer and the reporting person, dated January 27, 2022 (the "Option Agreement"). The options vest and become exercisable in 12 equal monthly installments beginning on the first day of the month following the Grant Date, subject to the reporting person's employment on the relevant vesting date.

F2 · derivative.expiration_date: The options expire 10 years from the Grant Date unless terminated sooner in accordance with the Plan or the Option Agreement.

Read SEC document
August 05, 2021 Filed Aug 9, 2021 20:31 UTC DA32 Life Science Tech Acquisition Corp. DALS · Entity 110669 OtherClass B Common Stock, par value $0.0001 per share · Derivative 701,250 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-032264 · doc4.xml · derivative · entry 1

ARCH Venture Fund XI, L.P. · CIK 0001831802 · 10% owner · Member of 10% owner group

ARCH Venture Partners XI, L.P. · CIK 0001847567 · 10% owner

ARCH Venture Partners XI, LLC · CIK 0001847601 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Through DA32 Sponsor LLC

Disclosed balance after: 4,465,000

Underlying: Class A Common Stock · 701,250 shares

Expires not disclosed

F1 · derivative.exercise_price: The shares of Class B Common Stock are convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Shares" in the Issuer's Registration Statement on Form S-1 (File No. 333-257679) (the "Registration Statement") and have no expiration date.

F2 · kind: On August 5, 2021, DA32 Sponsor LLC ("Sponsor") forfeited 701,250 shares of Class B Common Stock to the Issuer for no consideration in connection with the underwriters' election to forfeit their overallotment option on August 4, 2021. The forfeiture was not within the Reporting Persons' control as it occurred exclusively due to the underwriters' decision not to exercise the overallotment option and occurred shortly after the Issuer filed the final statutory prospectus for the initial public offering (the "IPO") disclosing all material information about the Issuer and the IPO.

F1 · derivative.exercise_date: The shares of Class B Common Stock are convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Shares" in the Issuer's Registration Statement on Form S-1 (File No. 333-257679) (the "Registration Statement") and have no expiration date.

F1 · derivative.expiration_date: The shares of Class B Common Stock are convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Shares" in the Issuer's Registration Statement on Form S-1 (File No. 333-257679) (the "Registration Statement") and have no expiration date.

F2 · derivative.underlying_shares: On August 5, 2021, DA32 Sponsor LLC ("Sponsor") forfeited 701,250 shares of Class B Common Stock to the Issuer for no consideration in connection with the underwriters' election to forfeit their overallotment option on August 4, 2021. The forfeiture was not within the Reporting Persons' control as it occurred exclusively due to the underwriters' decision not to exercise the overallotment option and occurred shortly after the Issuer filed the final statutory prospectus for the initial public offering (the "IPO") disclosing all material information about the Issuer and the IPO.

F3 · ownership.nature: This Form 4 is filed jointly by ARCH Venture Fund XI, L.P. ("AVF"), ARCH Venture Partners XI, L.P. ("AVP LP"), ARCH Venture Partners XI, LLC ("AVP LLC"), Kristina Burow, Robert Nelsen and Steven Gillis (collectively, the "Reporting Persons"). Keith Crandell has direct ownership of the Issuer's Class B Common Stock, as well as indirect pecuniary ownership of the Issuer's Class A Common Stock and Class B Common Stock and is filing his own Form 4 separately. Burow, Crandell, Nelsen and Gillis comprise the investment committee of AVP LLC (the AVP X Committee Members). Each of the Reporting Persons is a member of a Section 13(d) group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.

F4 · ownership.nature: As a managing member of Sponsor, AVF may be deemed to beneficially own the securities owned directly by Sponsor. As the sole general partner of AVF, AVP LP may be deemed to beneficially own the securities owned directly by Sponsor. As the sole general partner of AVP LP, AVP LLC may be deemed to beneficially own securities owned directly by Sponsor. As the members of the investment committee, each of the AVP X Committee Members may be deemed to beneficially own securities owned directly by Sponsor. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 21:06 UTC DA32 Life Science Tech Acquisition Corp. DALS · Entity 110669 OtherClass A Common Stock 650,000 $10.00 $6,500,000.00
Disclosure

SEC source: 0000899243-21-031417 · doc4.xml · nonDerivative · entry 2

ARCH Venture Fund XI, L.P. · CIK 0001831802 · 10% owner

ARCH Venture Partners XI, L.P. · CIK 0001847567 · 10% owner

ARCH Venture Partners XI, LLC · CIK 0001847601 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Through A32 ponsor LC

Disclosed balance after: 2,250,000

F4 · security: As a managing member of Sponsor, AVF may be deemed to beneficially own the securities owned directly by Sponsor. As the sole general partner of AVF, AVP LP may be deemed to beneficially own the securities owned directly by Sponsor. As the sole general partner of AVP LP, AVP LLC may be deemed to beneficially own securities owned directly by Sponsor. As the members of the investment committee, each of the AVP X Committee Members may be deemed to beneficially own securities owned directly by Sponsor. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.

F3 · kind: DA32 Sponsor LLC ("Sponsor") purchased 650,000 shares of Class A common stock directly from the Issuer in a private placement for $10.00 per share, concurrently with the Issuer's initial public offering.

F3 · shares: DA32 Sponsor LLC ("Sponsor") purchased 650,000 shares of Class A common stock directly from the Issuer in a private placement for $10.00 per share, concurrently with the Issuer's initial public offering.

F2 · ownership.nature: This Form 4 is filed jointly by ARCH Venture Fund XI, L.P. ("AVF"), ARCH Venture Partners XI, L.P. ("AVP LP"), ARCH Venture Partners XI, LLC ("AVP LLC"), Kristina Burow, Robert Nelsen and Steven Gillis (collectively, the "Reporting Persons"). Keith Crandell has direct ownership of the Issuer's Class B Common Stock, as well as indirect pecuniary ownership of the Issuer's Class A common stock and Class B Common Stock and is filing his own Form 4 separately. Burow, Crandell, Nelsen and Gillis comprise the investment committee of AVP LLC (the AVP X Committee Members). Each of the Reporting Persons is a member of a Section 13(d) group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.

F4 · ownership.nature: As a managing member of Sponsor, AVF may be deemed to beneficially own the securities owned directly by Sponsor. As the sole general partner of AVF, AVP LP may be deemed to beneficially own the securities owned directly by Sponsor. As the sole general partner of AVP LP, AVP LLC may be deemed to beneficially own securities owned directly by Sponsor. As the members of the investment committee, each of the AVP X Committee Members may be deemed to beneficially own securities owned directly by Sponsor. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 21:06 UTC DA32 Life Science Tech Acquisition Corp. DALS · Entity 110669 PurchaseClass A Common Stock 1,600,000 $10.00 $16,000,000.00
Disclosure

SEC source: 0000899243-21-031417 · doc4.xml · nonDerivative · entry 1

ARCH Venture Fund XI, L.P. · CIK 0001831802 · 10% owner

ARCH Venture Partners XI, L.P. · CIK 0001847567 · 10% owner

ARCH Venture Partners XI, LLC · CIK 0001847601 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,600,000

F1 · kind: ARCH Venture Fund XI, L.P. purchased 1,600,000 shares of the Issuer's Class A common stock for $10.00 per share in the Issuer's initial public offering.

F2 · ownership.direct: This Form 4 is filed jointly by ARCH Venture Fund XI, L.P. ("AVF"), ARCH Venture Partners XI, L.P. ("AVP LP"), ARCH Venture Partners XI, LLC ("AVP LLC"), Kristina Burow, Robert Nelsen and Steven Gillis (collectively, the "Reporting Persons"). Keith Crandell has direct ownership of the Issuer's Class B Common Stock, as well as indirect pecuniary ownership of the Issuer's Class A common stock and Class B Common Stock and is filing his own Form 4 separately. Burow, Crandell, Nelsen and Gillis comprise the investment committee of AVP LLC (the AVP X Committee Members). Each of the Reporting Persons is a member of a Section 13(d) group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.

Read SEC document
July 20, 2021 Filed Jul 21, 2021 00:53 UTC Erasca, Inc. ERAS · Entity 3796 ConversionSeries B-2 Preferred Stock · Derivative 1,133,333 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-029077 · doc4.xml · derivative · entry 8

ARCH Venture Partners X, LLC · CIK 0001769012 · 10% owner

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

ARCH Venture Fund X Overage, L.P. · CIK 0001757017 · 10% owner

ARCH Venture Partners X, L.P. · CIK 0001782583 · 10% owner

ARCH Venture Partners X Overage, L.P. · CIK 0001768905 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By ARCH Venture Fund X Overage, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 944,444 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 · price: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.expiration_date: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2 · ownership.nature: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3 · ownership.nature: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Read SEC document
July 20, 2021 Filed Jul 21, 2021 00:53 UTC Erasca, Inc. ERAS · Entity 3796 ConversionSeries B-1 Preferred Stock · Derivative 3,400,000 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-029077 · doc4.xml · derivative · entry 7

ARCH Venture Partners X, LLC · CIK 0001769012 · 10% owner

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

ARCH Venture Fund X Overage, L.P. · CIK 0001757017 · 10% owner

ARCH Venture Partners X, L.P. · CIK 0001782583 · 10% owner

ARCH Venture Partners X Overage, L.P. · CIK 0001768905 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By ARCH Venture Fund X Overage, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 2,833,333 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 · price: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.expiration_date: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2 · ownership.nature: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3 · ownership.nature: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Read SEC document
July 20, 2021 Filed Jul 21, 2021 00:53 UTC Erasca, Inc. ERAS · Entity 3796 ConversionSeries B-2 Preferred Stock · Derivative 1,133,333 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-029077 · doc4.xml · derivative · entry 6

ARCH Venture Partners X, LLC · CIK 0001769012 · 10% owner

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

ARCH Venture Fund X Overage, L.P. · CIK 0001757017 · 10% owner

ARCH Venture Partners X, L.P. · CIK 0001782583 · 10% owner

ARCH Venture Partners X Overage, L.P. · CIK 0001768905 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By ARCH Venture Fund X, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 944,444 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 · price: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.expiration_date: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2 · ownership.nature: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3 · ownership.nature: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Read SEC document
July 20, 2021 Filed Jul 21, 2021 00:53 UTC Erasca, Inc. ERAS · Entity 3796 ConversionSeries B-1 Preferred Stock · Derivative 3,400,000 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-029077 · doc4.xml · derivative · entry 5

ARCH Venture Partners X, LLC · CIK 0001769012 · 10% owner

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

ARCH Venture Fund X Overage, L.P. · CIK 0001757017 · 10% owner

ARCH Venture Partners X, L.P. · CIK 0001782583 · 10% owner

ARCH Venture Partners X Overage, L.P. · CIK 0001768905 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By ARCH Venture Fund X, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 2,833,333 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 · price: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.expiration_date: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2 · ownership.nature: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3 · ownership.nature: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Read SEC document
July 20, 2021 Filed Jul 21, 2021 00:53 UTC Erasca, Inc. ERAS · Entity 3796 ConversionSeries A Preferred Stock · Derivative 2,100,000 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-029077 · doc4.xml · derivative · entry 4

ARCH Venture Partners X, LLC · CIK 0001769012 · 10% owner

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

ARCH Venture Fund X Overage, L.P. · CIK 0001757017 · 10% owner

ARCH Venture Partners X, L.P. · CIK 0001782583 · 10% owner

ARCH Venture Partners X Overage, L.P. · CIK 0001768905 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By ARCH Venture Fund X Overage, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,750,000 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 · price: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.expiration_date: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2 · ownership.nature: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3 · ownership.nature: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Read SEC document
July 20, 2021 Filed Jul 21, 2021 00:53 UTC Erasca, Inc. ERAS · Entity 3796 ConversionSeries A Preferred Stock · Derivative 2,100,000 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-029077 · doc4.xml · derivative · entry 3

ARCH Venture Partners X, LLC · CIK 0001769012 · 10% owner

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

ARCH Venture Fund X Overage, L.P. · CIK 0001757017 · 10% owner

ARCH Venture Partners X, L.P. · CIK 0001782583 · 10% owner

ARCH Venture Partners X Overage, L.P. · CIK 0001768905 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By ARCH Venture Fund X, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,750,000 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 · price: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.expiration_date: The shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2 · ownership.nature: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3 · ownership.nature: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Read SEC document
July 20, 2021 Filed Jul 21, 2021 00:53 UTC Erasca, Inc. ERAS · Entity 3796 ConversionCommon Stock 5,527,777 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-029077 · doc4.xml · nonDerivative · entry 2

ARCH Venture Partners X, LLC · CIK 0001769012 · 10% owner

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

ARCH Venture Fund X Overage, L.P. · CIK 0001757017 · 10% owner

ARCH Venture Partners X, L.P. · CIK 0001782583 · 10% owner

ARCH Venture Partners X Overage, L.P. · CIK 0001768905 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By ARCH Venture Fund X Overage, L.P.

Disclosed balance after: 5,527,777

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 shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2 · ownership.nature: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3 · ownership.nature: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Read SEC document
July 20, 2021 Filed Jul 21, 2021 00:53 UTC Erasca, Inc. ERAS · Entity 3796 ConversionCommon Stock 5,527,777 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-029077 · doc4.xml · nonDerivative · entry 1

ARCH Venture Partners X, LLC · CIK 0001769012 · 10% owner

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

ARCH Venture Fund X Overage, L.P. · CIK 0001757017 · 10% owner

ARCH Venture Partners X, L.P. · CIK 0001782583 · 10% owner

ARCH Venture Partners X Overage, L.P. · CIK 0001768905 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By ARCH Venture Fund X, L.P.

Disclosed balance after: 5,527,777

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 shares of the Issuer's Series A and Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2 · ownership.nature: ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow, Steven Gillis, and Robert Nelsen comprise the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage.

F3 · ownership.nature: (Continued from Footnote 2) AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to any pecuniary interest therein.

Read SEC document
June 21, 2021 Filed Jun 23, 2021 16:29 UTC Verve Therapeutics, Inc. VERV · Entity 11259 ConversionSeries A-2 Convertible Preferred Stock · Derivative 4,508,146 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-025507 · doc4.xml · derivative · entry 6

ARCH Venture Partners X, LLC · CIK 0001769012 · 10% owner

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

ARCH Venture Fund X Overage, L.P. · CIK 0001757017 · 10% owner

ARCH Venture Partners X, L.P. · CIK 0001782583 · 10% owner

ARCH Venture Partners X Overage, L.P. · CIK 0001768905 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 486,867 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 · derivative.exercise_price: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F4 · kind: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F4 · price: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F4 · derivative.exercise_date: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F5 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

F2 · ownership.nature: Represents shares held directly by ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH X Overage.

F3 · ownership.nature: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Read SEC document
June 21, 2021 Filed Jun 23, 2021 16:29 UTC Verve Therapeutics, Inc. VERV · Entity 11259 ConversionSeries A-2 Convertible Preferred Stock · Derivative 4,508,144 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-025507 · doc4.xml · derivative · entry 5

ARCH Venture Partners X, LLC · CIK 0001769012 · 10% owner

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

ARCH Venture Fund X Overage, L.P. · CIK 0001757017 · 10% owner

ARCH Venture Partners X, L.P. · CIK 0001782583 · 10% owner

ARCH Venture Partners X Overage, L.P. · CIK 0001768905 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 486,866 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 · derivative.exercise_price: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F4 · kind: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F4 · price: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F4 · derivative.exercise_date: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F5 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

F1 · ownership.nature: Represents shares held directly by ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH X.

F3 · ownership.nature: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Read SEC document
June 21, 2021 Filed Jun 23, 2021 16:29 UTC Verve Therapeutics, Inc. VERV · Entity 11259 ConversionSeries A Convertible Preferred Stock · Derivative 7,107,023 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-025507 · doc4.xml · derivative · entry 4

ARCH Venture Partners X, LLC · CIK 0001769012 · 10% owner

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

ARCH Venture Fund X Overage, L.P. · CIK 0001757017 · 10% owner

ARCH Venture Partners X, L.P. · CIK 0001782583 · 10% owner

ARCH Venture Partners X Overage, L.P. · CIK 0001768905 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 767,538 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 · derivative.exercise_price: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F4 · kind: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F4 · price: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F4 · derivative.exercise_date: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F5 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

F2 · ownership.nature: Represents shares held directly by ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH X Overage.

F3 · ownership.nature: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Read SEC document
June 21, 2021 Filed Jun 23, 2021 16:29 UTC Verve Therapeutics, Inc. VERV · Entity 11259 ConversionSeries A Convertible Preferred Stock · Derivative 7,107,024 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-025507 · doc4.xml · derivative · entry 3

ARCH Venture Partners X, LLC · CIK 0001769012 · 10% owner

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

ARCH Venture Fund X Overage, L.P. · CIK 0001757017 · 10% owner

ARCH Venture Partners X, L.P. · CIK 0001782583 · 10% owner

ARCH Venture Partners X Overage, L.P. · CIK 0001768905 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 767,538 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 · derivative.exercise_price: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F4 · kind: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F4 · price: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F4 · derivative.exercise_date: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F5 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

F1 · ownership.nature: Represents shares held directly by ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH X.

F3 · ownership.nature: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Read SEC document
June 21, 2021 Filed Jun 23, 2021 16:29 UTC Verve Therapeutics, Inc. VERV · Entity 11259 ConversionCommon Stock, par value $0.001 1,254,405 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-025507 · doc4.xml · nonDerivative · entry 2

ARCH Venture Partners X, LLC · CIK 0001769012 · 10% owner

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

ARCH Venture Fund X Overage, L.P. · CIK 0001757017 · 10% owner

ARCH Venture Partners X, L.P. · CIK 0001782583 · 10% owner

ARCH Venture Partners X Overage, L.P. · CIK 0001768905 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · ARCH Venture Fund X Overage, L.P.

Disclosed balance after: 1,254,405

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 · price: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F2 · ownership.direct: Represents shares held directly by ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH X Overage.

F3 · ownership.direct: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Read SEC document
June 21, 2021 Filed Jun 23, 2021 16:29 UTC Verve Therapeutics, Inc. VERV · Entity 11259 ConversionCommon Stock, par value $0.001 1,254,404 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-025507 · doc4.xml · nonDerivative · entry 1

ARCH Venture Partners X, LLC · CIK 0001769012 · 10% owner

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

ARCH Venture Fund X Overage, L.P. · CIK 0001757017 · 10% owner

ARCH Venture Partners X, L.P. · CIK 0001782583 · 10% owner

ARCH Venture Partners X Overage, L.P. · CIK 0001768905 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

NELSEN ROBERT · CIK 0001219042 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · ARCH Venture Fund X, L.P.

Disclosed balance after: 1,254,404

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 · price: The shares of Issuer's Preferred Stock converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-9.2595 basis immediately prior to the consummation of Issuer's initial public offering.

F1 · ownership.direct: Represents shares held directly by ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH X.

F3 · ownership.direct: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Robert Nelsen, Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Read SEC document
June 18, 2021 Filed Jun 22, 2021 23:10 UTC Codiak BioSciences, Inc. CDAK · Entity 114958 GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $24.13 $0.00
Disclosure

SEC source: 0000899243-21-025391 · doc4.xml · derivative · entry 1

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-06-17

F1 · derivative.exercise_date: This option shall vest in full upon the earlier to occur of (i) June 18, 2022, or (ii) the next annual meeting of the Issuer's stockholders.

Read SEC document
June 17, 2021 Filed Jun 22, 2021 21:35 UTC Q32 Bio Inc. FIXX · Entity 5594 GrantOption (Right to Buy) · Derivative 18,000 $0.00 Strike: $7.26 $0.00
Disclosure

SEC source: 0000899243-21-025321 · doc4.xml · derivative · entry 1

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2031-06-17

F1 · derivative.exercise_date: This option shall vest and become exercisable on the earlier of June 17, 2022 or the day immediately prior to the date of the Issuer's next annual meeting of stockholders occurring after the date of grant, in either case subject to the Reporting Person continuing in service on the Board as a Non-Employee Director through such vesting date.

Read SEC document
February 08, 2021 Filed Feb 10, 2021 19:22 UTC Sana Biotechnology, Inc. SANA · Entity 4870 ConversionSeries B Convertible Preferred Stock · Derivative 2,343,750 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-005753 · doc4.xml · derivative · entry 14

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

BYBEE CLINTON · CIK 0001219043 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 2,343,750 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 shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F8 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

F6 · ownership.nature: Represents shares held directly by ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH X Overage.

F7 · ownership.nature: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Read SEC document
February 08, 2021 Filed Feb 10, 2021 19:22 UTC Sana Biotechnology, Inc. SANA · Entity 4870 ConversionSeries B Convertible Preferred Stock · Derivative 2,343,750 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-005753 · doc4.xml · derivative · entry 13

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

BYBEE CLINTON · CIK 0001219043 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 2,343,750 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 shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F8 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

F5 · ownership.nature: Represents shares held directly by ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH X.

F7 · ownership.nature: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Read SEC document
February 08, 2021 Filed Feb 10, 2021 19:22 UTC Sana Biotechnology, Inc. SANA · Entity 4870 ConversionSeries B Convertible Preferred Stock · Derivative 781,250 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-005753 · doc4.xml · derivative · entry 12

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

BYBEE CLINTON · CIK 0001219043 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 781,250 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 shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F8 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

F3 · ownership.nature: Represents shares held directly by ARCH Venture Fund IX Overage, L.P. (ARCH IX Overage). ARCH Venture Partners IX Overage, L.P. (AVP IX Overage LP) is the sole general partner of ARCH IX Overage.

F4 · ownership.nature: ARCH Venture Partners IX, LLC (AVP IX LLC) is the sole general partner of each of AVP IX LP and AVP IX Overage LP. Keith Crandell and Clinton Bybee are managing directors of AVP IX LLC (the AVP IX MDs). AVP IX LP and AVP IX Overage LP may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, respectively, AVP IX LLC may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, and each of the AVP IX MDs may be deemed to share the power to direct the disposition and vote of the shares held by ARCH IX and ARCH IX Overage. AVP IX LP, AVP IX Overage LP, AVP IX LLC, and the AVP IX MDs each disclaim beneficial ownership except to to the extent of any pecuniary interest therein.

Read SEC document
February 08, 2021 Filed Feb 10, 2021 19:22 UTC Sana Biotechnology, Inc. SANA · Entity 4870 ConversionSeries B Convertible Preferred Stock · Derivative 781,250 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-005753 · doc4.xml · derivative · entry 11

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

BYBEE CLINTON · CIK 0001219043 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 781,250 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 shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F8 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

F2 · ownership.nature: Represents shares held directly by ARCH Venture Fund IX, L.P. (ARCH IX). ARCH Venture Partners IX, L.P. (AVP IX LP) is the sole general partner of ARCH IX.

F4 · ownership.nature: ARCH Venture Partners IX, LLC (AVP IX LLC) is the sole general partner of each of AVP IX LP and AVP IX Overage LP. Keith Crandell and Clinton Bybee are managing directors of AVP IX LLC (the AVP IX MDs). AVP IX LP and AVP IX Overage LP may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, respectively, AVP IX LLC may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, and each of the AVP IX MDs may be deemed to share the power to direct the disposition and vote of the shares held by ARCH IX and ARCH IX Overage. AVP IX LP, AVP IX Overage LP, AVP IX LLC, and the AVP IX MDs each disclaim beneficial ownership except to to the extent of any pecuniary interest therein.

Read SEC document
February 08, 2021 Filed Feb 10, 2021 19:22 UTC Sana Biotechnology, Inc. SANA · Entity 4870 ConversionSeries A-2 Convertible Preferred Stock · Derivative 5,687,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-005753 · doc4.xml · derivative · entry 10

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

BYBEE CLINTON · CIK 0001219043 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 5,687,500 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 shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F8 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

F3 · ownership.nature: Represents shares held directly by ARCH Venture Fund IX Overage, L.P. (ARCH IX Overage). ARCH Venture Partners IX Overage, L.P. (AVP IX Overage LP) is the sole general partner of ARCH IX Overage.

F4 · ownership.nature: ARCH Venture Partners IX, LLC (AVP IX LLC) is the sole general partner of each of AVP IX LP and AVP IX Overage LP. Keith Crandell and Clinton Bybee are managing directors of AVP IX LLC (the AVP IX MDs). AVP IX LP and AVP IX Overage LP may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, respectively, AVP IX LLC may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, and each of the AVP IX MDs may be deemed to share the power to direct the disposition and vote of the shares held by ARCH IX and ARCH IX Overage. AVP IX LP, AVP IX Overage LP, AVP IX LLC, and the AVP IX MDs each disclaim beneficial ownership except to to the extent of any pecuniary interest therein.

Read SEC document
February 08, 2021 Filed Feb 10, 2021 19:22 UTC Sana Biotechnology, Inc. SANA · Entity 4870 ConversionSeries A-2 Convertible Preferred Stock · Derivative 9,375,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-005753 · doc4.xml · derivative · entry 9

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

BYBEE CLINTON · CIK 0001219043 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 9,375,000 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 shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F8 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

F6 · ownership.nature: Represents shares held directly by ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH X Overage.

F7 · ownership.nature: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Read SEC document
February 08, 2021 Filed Feb 10, 2021 19:22 UTC Sana Biotechnology, Inc. SANA · Entity 4870 ConversionSeries A-2 Convertible Preferred Stock · Derivative 9,375,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-005753 · doc4.xml · derivative · entry 8

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

BYBEE CLINTON · CIK 0001219043 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 9,375,000 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 shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F8 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

F5 · ownership.nature: Represents shares held directly by ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH X.

F7 · ownership.nature: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Read SEC document
February 08, 2021 Filed Feb 10, 2021 19:22 UTC Sana Biotechnology, Inc. SANA · Entity 4870 ConversionSeries A-2 Convertible Preferred Stock · Derivative 5,687,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-005753 · doc4.xml · derivative · entry 7

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

BYBEE CLINTON · CIK 0001219043 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 5,687,500 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 shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F8 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

F2 · ownership.nature: Represents shares held directly by ARCH Venture Fund IX, L.P. (ARCH IX). ARCH Venture Partners IX, L.P. (AVP IX LP) is the sole general partner of ARCH IX.

F4 · ownership.nature: ARCH Venture Partners IX, LLC (AVP IX LLC) is the sole general partner of each of AVP IX LP and AVP IX Overage LP. Keith Crandell and Clinton Bybee are managing directors of AVP IX LLC (the AVP IX MDs). AVP IX LP and AVP IX Overage LP may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, respectively, AVP IX LLC may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, and each of the AVP IX MDs may be deemed to share the power to direct the disposition and vote of the shares held by ARCH IX and ARCH IX Overage. AVP IX LP, AVP IX Overage LP, AVP IX LLC, and the AVP IX MDs each disclaim beneficial ownership except to to the extent of any pecuniary interest therein.

Read SEC document
February 08, 2021 Filed Feb 10, 2021 19:22 UTC Sana Biotechnology, Inc. SANA · Entity 4870 ConversionSeries A-1 Convertible Preferred Stock · Derivative 3,687,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-005753 · doc4.xml · derivative · entry 6

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

BYBEE CLINTON · CIK 0001219043 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 3,687,500 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 shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F8 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

F3 · ownership.nature: Represents shares held directly by ARCH Venture Fund IX Overage, L.P. (ARCH IX Overage). ARCH Venture Partners IX Overage, L.P. (AVP IX Overage LP) is the sole general partner of ARCH IX Overage.

F4 · ownership.nature: ARCH Venture Partners IX, LLC (AVP IX LLC) is the sole general partner of each of AVP IX LP and AVP IX Overage LP. Keith Crandell and Clinton Bybee are managing directors of AVP IX LLC (the AVP IX MDs). AVP IX LP and AVP IX Overage LP may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, respectively, AVP IX LLC may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, and each of the AVP IX MDs may be deemed to share the power to direct the disposition and vote of the shares held by ARCH IX and ARCH IX Overage. AVP IX LP, AVP IX Overage LP, AVP IX LLC, and the AVP IX MDs each disclaim beneficial ownership except to to the extent of any pecuniary interest therein.

Read SEC document
February 08, 2021 Filed Feb 10, 2021 19:22 UTC Sana Biotechnology, Inc. SANA · Entity 4870 ConversionSeries A-1 Convertible Preferred Stock · Derivative 3,687,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-005753 · doc4.xml · derivative · entry 5

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

BYBEE CLINTON · CIK 0001219043 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 3,687,500 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 shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F8 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

F2 · ownership.nature: Represents shares held directly by ARCH Venture Fund IX, L.P. (ARCH IX). ARCH Venture Partners IX, L.P. (AVP IX LP) is the sole general partner of ARCH IX.

F4 · ownership.nature: ARCH Venture Partners IX, LLC (AVP IX LLC) is the sole general partner of each of AVP IX LP and AVP IX Overage LP. Keith Crandell and Clinton Bybee are managing directors of AVP IX LLC (the AVP IX MDs). AVP IX LP and AVP IX Overage LP may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, respectively, AVP IX LLC may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, and each of the AVP IX MDs may be deemed to share the power to direct the disposition and vote of the shares held by ARCH IX and ARCH IX Overage. AVP IX LP, AVP IX Overage LP, AVP IX LLC, and the AVP IX MDs each disclaim beneficial ownership except to to the extent of any pecuniary interest therein.

Read SEC document
February 08, 2021 Filed Feb 10, 2021 19:22 UTC Sana Biotechnology, Inc. SANA · Entity 4870 ConversionCommon Stock 11,718,750 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-005753 · doc4.xml · nonDerivative · entry 4

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

BYBEE CLINTON · CIK 0001219043 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 11,718,750

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 shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F6 · ownership.nature: Represents shares held directly by ARCH Venture Fund X Overage, L.P. (ARCH X Overage). ARCH Venture Partners X Overage, L.P. (AVP X Overage LP) is the sole general partner of ARCH X Overage.

F7 · ownership.nature: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Read SEC document
February 08, 2021 Filed Feb 10, 2021 19:22 UTC Sana Biotechnology, Inc. SANA · Entity 4870 ConversionCommon Stock 11,718,750 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-005753 · doc4.xml · nonDerivative · entry 3

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

BYBEE CLINTON · CIK 0001219043 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 11,718,750

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 shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F5 · ownership.nature: Represents shares held directly by ARCH Venture Fund X, L.P. (ARCH X). ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH X.

F7 · ownership.nature: ARCH Venture Partners X, LLC (AVP X LLC) is the sole general partner of each of AVP X LP and AVP X Overage LP. Keith Crandell, Kristina Burow and Steven Gillis are members of the investment committee of AVP X LLC (the AVP X Committee Members). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

Read SEC document
February 08, 2021 Filed Feb 10, 2021 19:22 UTC Sana Biotechnology, Inc. SANA · Entity 4870 ConversionCommon Stock 10,156,250 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-005753 · doc4.xml · nonDerivative · entry 2

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

BYBEE CLINTON · CIK 0001219043 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 10,301,250

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 shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F3 · ownership.nature: Represents shares held directly by ARCH Venture Fund IX Overage, L.P. (ARCH IX Overage). ARCH Venture Partners IX Overage, L.P. (AVP IX Overage LP) is the sole general partner of ARCH IX Overage.

F4 · ownership.nature: ARCH Venture Partners IX, LLC (AVP IX LLC) is the sole general partner of each of AVP IX LP and AVP IX Overage LP. Keith Crandell and Clinton Bybee are managing directors of AVP IX LLC (the AVP IX MDs). AVP IX LP and AVP IX Overage LP may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, respectively, AVP IX LLC may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, and each of the AVP IX MDs may be deemed to share the power to direct the disposition and vote of the shares held by ARCH IX and ARCH IX Overage. AVP IX LP, AVP IX Overage LP, AVP IX LLC, and the AVP IX MDs each disclaim beneficial ownership except to to the extent of any pecuniary interest therein.

Read SEC document
February 08, 2021 Filed Feb 10, 2021 19:22 UTC Sana Biotechnology, Inc. SANA · Entity 4870 ConversionCommon Stock 10,156,250 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-005753 · doc4.xml · nonDerivative · entry 1

ARCH Venture Fund X, L.P. · CIK 0001757011 · 10% owner

CRANDELL KEITH · CIK 0001219039 · 10% owner

BYBEE CLINTON · CIK 0001219043 · 10% owner

Burow Kristina · CIK 0001569248 · 10% owner

GILLIS STEVEN · CIK 0001229592 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 10,303,750

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 shares of Issuer's Preferred Stock automatically converted into shares of Issuer's Common Stock, for no additional consideration, on a 1-for-1 basis immediately prior to the consummation of Issuer's initial public offering.

F2 · ownership.nature: Represents shares held directly by ARCH Venture Fund IX, L.P. (ARCH IX). ARCH Venture Partners IX, L.P. (AVP IX LP) is the sole general partner of ARCH IX.

F4 · ownership.nature: ARCH Venture Partners IX, LLC (AVP IX LLC) is the sole general partner of each of AVP IX LP and AVP IX Overage LP. Keith Crandell and Clinton Bybee are managing directors of AVP IX LLC (the AVP IX MDs). AVP IX LP and AVP IX Overage LP may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, respectively, AVP IX LLC may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, and each of the AVP IX MDs may be deemed to share the power to direct the disposition and vote of the shares held by ARCH IX and ARCH IX Overage. AVP IX LP, AVP IX Overage LP, AVP IX LLC, and the AVP IX MDs each disclaim beneficial ownership except to to the extent of any pecuniary interest therein.

Read SEC document
January 27, 2021 Filed Jan 29, 2021 18:11 UTC VBI Vaccines Inc/BC VBIV · Entity 111039 GrantOption (Right to Buy Common Shares) · Derivative 100,000 $0.00 Strike: $3.15 $0.00
Disclosure

SEC source: 0001493152-21-002140 · ownership.xml · derivative · entry 1

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Shares · 100,000 shares

Expires 2031-01-27

F1 · derivative.exercise_date: The reporting person is a participant in the Issuer's Incentive Plan (the "Plan"). The board of directors of the Issuer approved the option grant on January 27, 2021 (the "Grant Date"). The options were granted pursuant to that certain option agreement entered into by and between the Issuer and the reporting person, dated January 27, 2021 (the "Option Agreement"). The options vest and become exercisable in 12 equal monthly installments beginning on the first day of the month following the Grant Date, subject to the reporting person's employment on the relevant vesting date.

F2 · derivative.expiration_date: The options expire 10 years from the Grant Date unless terminated sooner in accordance with the Plan or the Option Agreement.

Read SEC document
October 16, 2020 Filed Oct 21, 2020 00:03 UTC Codiak BioSciences, Inc. CDAK · Entity 114958 ConversionSeries B Preferred Stock · Derivative 3,000,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-028804 · doc4.xml · derivative · entry 5

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 420,368 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 · derivative.exercise_price: Each share of Series B Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-7.1366 basis upon the closing of the Issuer's initial public offering on October 16, 2020 and had no expiration date. The reporting person previously reported shares of common stock into which the Series B Preferred Stock was convertible based on a 1-for-7.1295 conversion ratio estimated at pricing of the Issuer's initial public offering, which reflected a fixed conversion price plus an estimated adjustment based on the issuance of shares in the Issuer's initial public offering.

F4 · price: Each share of Series B Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-7.1366 basis upon the closing of the Issuer's initial public offering on October 16, 2020 and had no expiration date. The reporting person previously reported shares of common stock into which the Series B Preferred Stock was convertible based on a 1-for-7.1295 conversion ratio estimated at pricing of the Issuer's initial public offering, which reflected a fixed conversion price plus an estimated adjustment based on the issuance of shares in the Issuer's initial public offering.

F4 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-7.1366 basis upon the closing of the Issuer's initial public offering on October 16, 2020 and had no expiration date. The reporting person previously reported shares of common stock into which the Series B Preferred Stock was convertible based on a 1-for-7.1295 conversion ratio estimated at pricing of the Issuer's initial public offering, which reflected a fixed conversion price plus an estimated adjustment based on the issuance of shares in the Issuer's initial public offering.

F4 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-7.1366 basis upon the closing of the Issuer's initial public offering on October 16, 2020 and had no expiration date. The reporting person previously reported shares of common stock into which the Series B Preferred Stock was convertible based on a 1-for-7.1295 conversion ratio estimated at pricing of the Issuer's initial public offering, which reflected a fixed conversion price plus an estimated adjustment based on the issuance of shares in the Issuer's initial public offering.

F2 · ownership.nature: Shares held by ARCH Venture Fund VIII, L.P. ("ARCH Fund VIII"). The sole general partner of ARCH Fund VIII is ARCH Venture Partners VIII, L.P. ("ARCH Partners VIII"), which may be deemed to beneficially own the shares held by ARCH Fund VIII. The sole general partner of ARCH Partners VIII is ARCH Venture Partners VIII, LLC ("ARCH VIII LLC"), which may be deemed to beneficially own the shares held by ARCH Fund VIII. ARCH Partners VIII and ARCH VIII LLC disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein. The managing directors of ARCH VIII LLC are Keith L. Crandell, Clinton Bybee and Robert Nelsen, and they may be deemed to beneficially own the shares held by ARCH Fund VIII. Messrs. Crandell, Bybee and Nelsen disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

F3 · ownership.nature: The Reporting Person is a managing director at ARCH Partners VIII and owns an interest in ARCH Partners VIII but does not have voting or investment control over the shares held by ARCH Fund VIII. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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October 16, 2020 Filed Oct 21, 2020 00:03 UTC Codiak BioSciences, Inc. CDAK · Entity 114958 ConversionSeries A Preferred Stock · Derivative 13,950,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-028804 · doc4.xml · derivative · entry 4

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 1,784,572 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series A Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-7.8170 basis upon the closing of the Issuer's initial public offering on October 16, 2020 and had no expiration date.

F1 · price: Each share of Series A Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-7.8170 basis upon the closing of the Issuer's initial public offering on October 16, 2020 and had no expiration date.

F1 · derivative.exercise_date: Each share of Series A Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-7.8170 basis upon the closing of the Issuer's initial public offering on October 16, 2020 and had no expiration date.

F1 · derivative.expiration_date: Each share of Series A Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-7.8170 basis upon the closing of the Issuer's initial public offering on October 16, 2020 and had no expiration date.

F2 · ownership.nature: Shares held by ARCH Venture Fund VIII, L.P. ("ARCH Fund VIII"). The sole general partner of ARCH Fund VIII is ARCH Venture Partners VIII, L.P. ("ARCH Partners VIII"), which may be deemed to beneficially own the shares held by ARCH Fund VIII. The sole general partner of ARCH Partners VIII is ARCH Venture Partners VIII, LLC ("ARCH VIII LLC"), which may be deemed to beneficially own the shares held by ARCH Fund VIII. ARCH Partners VIII and ARCH VIII LLC disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein. The managing directors of ARCH VIII LLC are Keith L. Crandell, Clinton Bybee and Robert Nelsen, and they may be deemed to beneficially own the shares held by ARCH Fund VIII. Messrs. Crandell, Bybee and Nelsen disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

F3 · ownership.nature: The Reporting Person is a managing director at ARCH Partners VIII and owns an interest in ARCH Partners VIII but does not have voting or investment control over the shares held by ARCH Fund VIII. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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October 16, 2020 Filed Oct 21, 2020 00:03 UTC Codiak BioSciences, Inc. CDAK · Entity 114958 PurchaseCommon Stock 235,000 $15.00 $3,525,000.00
Disclosure

SEC source: 0000899243-20-028804 · doc4.xml · nonDerivative · entry 3

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,503,903

F2 · ownership.nature: Shares held by ARCH Venture Fund VIII, L.P. ("ARCH Fund VIII"). The sole general partner of ARCH Fund VIII is ARCH Venture Partners VIII, L.P. ("ARCH Partners VIII"), which may be deemed to beneficially own the shares held by ARCH Fund VIII. The sole general partner of ARCH Partners VIII is ARCH Venture Partners VIII, LLC ("ARCH VIII LLC"), which may be deemed to beneficially own the shares held by ARCH Fund VIII. ARCH Partners VIII and ARCH VIII LLC disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein. The managing directors of ARCH VIII LLC are Keith L. Crandell, Clinton Bybee and Robert Nelsen, and they may be deemed to beneficially own the shares held by ARCH Fund VIII. Messrs. Crandell, Bybee and Nelsen disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

F3 · ownership.nature: The Reporting Person is a managing director at ARCH Partners VIII and owns an interest in ARCH Partners VIII but does not have voting or investment control over the shares held by ARCH Fund VIII. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
October 16, 2020 Filed Oct 21, 2020 00:03 UTC Codiak BioSciences, Inc. CDAK · Entity 114958 ConversionCommon Stock 420,368 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-028804 · doc4.xml · nonDerivative · entry 2

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,268,903

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 · price: Each share of Series B Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-7.1366 basis upon the closing of the Issuer's initial public offering on October 16, 2020 and had no expiration date. The reporting person previously reported shares of common stock into which the Series B Preferred Stock was convertible based on a 1-for-7.1295 conversion ratio estimated at pricing of the Issuer's initial public offering, which reflected a fixed conversion price plus an estimated adjustment based on the issuance of shares in the Issuer's initial public offering.

F2 · ownership.nature: Shares held by ARCH Venture Fund VIII, L.P. ("ARCH Fund VIII"). The sole general partner of ARCH Fund VIII is ARCH Venture Partners VIII, L.P. ("ARCH Partners VIII"), which may be deemed to beneficially own the shares held by ARCH Fund VIII. The sole general partner of ARCH Partners VIII is ARCH Venture Partners VIII, LLC ("ARCH VIII LLC"), which may be deemed to beneficially own the shares held by ARCH Fund VIII. ARCH Partners VIII and ARCH VIII LLC disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein. The managing directors of ARCH VIII LLC are Keith L. Crandell, Clinton Bybee and Robert Nelsen, and they may be deemed to beneficially own the shares held by ARCH Fund VIII. Messrs. Crandell, Bybee and Nelsen disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

F3 · ownership.nature: The Reporting Person is a managing director at ARCH Partners VIII and owns an interest in ARCH Partners VIII but does not have voting or investment control over the shares held by ARCH Fund VIII. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
October 16, 2020 Filed Oct 21, 2020 00:03 UTC Codiak BioSciences, Inc. CDAK · Entity 114958 ConversionCommon Stock 1,784,572 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-028804 · doc4.xml · nonDerivative · entry 1

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,848,535

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of Series A Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-7.8170 basis upon the closing of the Issuer's initial public offering on October 16, 2020 and had no expiration date.

F2 · ownership.nature: Shares held by ARCH Venture Fund VIII, L.P. ("ARCH Fund VIII"). The sole general partner of ARCH Fund VIII is ARCH Venture Partners VIII, L.P. ("ARCH Partners VIII"), which may be deemed to beneficially own the shares held by ARCH Fund VIII. The sole general partner of ARCH Partners VIII is ARCH Venture Partners VIII, LLC ("ARCH VIII LLC"), which may be deemed to beneficially own the shares held by ARCH Fund VIII. ARCH Partners VIII and ARCH VIII LLC disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein. The managing directors of ARCH VIII LLC are Keith L. Crandell, Clinton Bybee and Robert Nelsen, and they may be deemed to beneficially own the shares held by ARCH Fund VIII. Messrs. Crandell, Bybee and Nelsen disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

F3 · ownership.nature: The Reporting Person is a managing director at ARCH Partners VIII and owns an interest in ARCH Partners VIII but does not have voting or investment control over the shares held by ARCH Fund VIII. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Read SEC document
October 13, 2020 Filed Oct 16, 2020 00:15 UTC Codiak BioSciences, Inc. CDAK · Entity 114958 GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $15.00 $0.00
Disclosure

SEC source: 0000899243-20-028423 · doc4.xml · derivative · entry 1

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-10-12

F1 · derivative.exercise_date: This option shall vest in full upon the earlier to occur of (i) October 13, 2021, and (ii) the next annual meeting of the Issuer's stockholders.

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August 28, 2020 Filed Sep 2, 2020 00:21 UTC Pulmatrix, Inc. PULM · Entity 8249 GrantStock Option (Right to Buy) · Derivative 10,000 Not disclosed Strike: $1.28 Not disclosed
Disclosure

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 16

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2021-09-01

F8 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on April 2, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 9,167 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F8 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on April 2, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 9,167 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F8 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on April 2, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 9,167 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

Read SEC document
August 28, 2020 Filed Sep 2, 2020 00:21 UTC Pulmatrix, Inc. PULM · Entity 8249 Disposition to issuerStock Option (Right to Buy) · Derivative 10,000 Not disclosed Strike: $1.28 Not disclosed
Disclosure

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 15

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2030-04-02

F8 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on April 2, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 9,167 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F8 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on April 2, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 9,167 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F8 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on April 2, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 9,167 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

Read SEC document
August 28, 2020 Filed Sep 2, 2020 00:21 UTC Pulmatrix, Inc. PULM · Entity 8249 GrantStock Option (Right to Buy) · Derivative 15,000 Not disclosed Strike: $1.54 Not disclosed
Disclosure

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 14

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2021-09-01

F7 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 9, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 12,813 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F7 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 9, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 12,813 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F7 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 9, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 12,813 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

Read SEC document
August 28, 2020 Filed Sep 2, 2020 00:21 UTC Pulmatrix, Inc. PULM · Entity 8249 Disposition to issuerStock Option (Right to Buy) · Derivative 15,000 Not disclosed Strike: $1.54 Not disclosed
Disclosure

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 13

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2030-01-09

F7 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 9, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 12,813 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F7 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 9, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 12,813 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F7 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 9, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 12,813 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

Read SEC document
August 28, 2020 Filed Sep 2, 2020 00:21 UTC Pulmatrix, Inc. PULM · Entity 8249 GrantStock Option (Right to Buy) · Derivative 15,000 Not disclosed Strike: $1.06 Not disclosed
Disclosure

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 12

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2021-09-01

F6 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 16, 2019 and provided for vesting in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019. Vesting was accelerated for 10,313 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F6 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 16, 2019 and provided for vesting in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019. Vesting was accelerated for 10,313 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F6 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 16, 2019 and provided for vesting in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019. Vesting was accelerated for 10,313 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

Read SEC document
August 28, 2020 Filed Sep 2, 2020 00:21 UTC Pulmatrix, Inc. PULM · Entity 8249 Disposition to issuerStock Option (Right to Buy) · Derivative 15,000 Not disclosed Strike: $1.06 Not disclosed
Disclosure

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 11

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2029-05-16

F6 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 16, 2019 and provided for vesting in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019. Vesting was accelerated for 10,313 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F6 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 16, 2019 and provided for vesting in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019. Vesting was accelerated for 10,313 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F6 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 16, 2019 and provided for vesting in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019. Vesting was accelerated for 10,313 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

Read SEC document
August 28, 2020 Filed Sep 2, 2020 00:21 UTC Pulmatrix, Inc. PULM · Entity 8249 GrantStock Option (Right to Buy) · Derivative 12,400 Not disclosed Strike: $4.68 Not disclosed
Disclosure

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 10

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,400

Underlying: Common Stock · 12,400 shares

Expires 2021-09-01

F5 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 5, 2018 and provided for 25% vesting on June 5, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow June 5, 2018. Vesting was accelerated for 2,581 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F5 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 5, 2018 and provided for 25% vesting on June 5, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow June 5, 2018. Vesting was accelerated for 2,581 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F5 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 5, 2018 and provided for 25% vesting on June 5, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow June 5, 2018. Vesting was accelerated for 2,581 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

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.