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person · Reporting owner

AKKARAJU SRINIVAS

Disclosed activity across 16 companies

Tapewire entity
32933
SEC CIK
0001253170

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ALUMIS INC.ALMS · Entity 4816DirectorSeptember 04, 2026September 10, 2026
Jiya Acquisition Corp.JYAC · Entity 123583Director · 10% ownerSeptember 23, 2022September 23, 2022
Kalaris Therapeutics, Inc.KLRS · Entity 6805DirectorJune 03, 2026June 04, 2026
LENZ Therapeutics, Inc.GRPH · Entity 647510% ownerApril 11, 2022April 13, 2022
Mineralys Therapeutics, Inc.MLYS · Entity 4432Director · 10% ownerFebruary 19, 2026February 21, 2026
Neurogene Inc.NGNE · Entity 516010% ownerNovember 26, 2024November 27, 2024
Principia Biopharma Inc.PRNB · Entity 146423DirectorSeptember 13, 2018January 11, 2019
Scholar Rock Holding CorpSRRK · Entity 3721DirectorJune 04, 2026June 08, 2026
Seagen Inc.SGEN · Entity 13956DirectorMay 15, 2020May 19, 2020
Syros Pharmaceuticals, Inc.SYRS · Entity 85437DirectorSeptember 16, 2024September 18, 2024
aTYR PHARMA INCLIFE · Entity 7233DirectorMay 09, 2017May 11, 2017
vTv Therapeutics Inc.VTVT · Entity 6614DirectorJune 26, 2026June 29, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

ALUMIS INC.

Report date September 04, 2026 · Filed September 10, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Samsara BioCapital, L.P.4,937,026 Last balance in matching sequence After 2026-09-08 transaction · row 5 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2026-09-04 · Purchase · Acquired 220,070 · Balance 4,711,801

F1: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $11.02 to $11.60, inclusive. The Reporting Person undertake 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 securities purchased at each separate price within the range set forth in this footnote.

F2: Shares are directly held by Samsara BioCapital LP. ("Samsara LP"). The Reporting Person is a managing member of Samsara BioCapital GP, LLC, the general partner of Samsara LP. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Row 3 · 2026-09-08 · Sale · Disposed 48,066 · Balance 4,663,735

F4: The sales and purchases on September 8, 2026 were matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 48,066 shares in the case of Samsara LP and 48,065 shares in the case of Samsara Opportunity Fund, resulting in short-swing profit liability under Section 16(b). The Reporting Person has agreed to disgorge to the Issuer the short-swing profit realized in connection with these transactions, less transaction costs.

F5: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $10.38 to $10.91, inclusive. The Reporting Person undertake 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 securities sold at each separate price within the range set forth in this footnote.

F2: Shares are directly held by Samsara BioCapital LP. ("Samsara LP"). The Reporting Person is a managing member of Samsara BioCapital GP, LLC, the general partner of Samsara LP. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Row 5 · 2026-09-08 · Purchase · Acquired 273,291 · Balance 4,937,026

F4: The sales and purchases on September 8, 2026 were matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 48,066 shares in the case of Samsara LP and 48,065 shares in the case of Samsara Opportunity Fund, resulting in short-swing profit liability under Section 16(b). The Reporting Person has agreed to disgorge to the Issuer the short-swing profit realized in connection with these transactions, less transaction costs.

F6: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $10.26 to $10.835, inclusive. The Reporting Person undertake 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 securities purchased at each separate price within the range set forth in this footnote.

F2: Shares are directly held by Samsara BioCapital LP. ("Samsara LP"). The Reporting Person is a managing member of Samsara BioCapital GP, LLC, the general partner of Samsara LP. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Samsara Opportunity Fund, L.P.2,298,783 Last balance in matching sequence After 2026-09-08 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 2 · 2026-09-04 · Purchase · Acquired 220,070 · Balance 2,073,558

F1: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $11.02 to $11.60, inclusive. The Reporting Person undertake 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 securities purchased at each separate price within the range set forth in this footnote.

F3: Shares are directly held by Samsara Opportunity Fund, L.P. ("Samsara Opportunity Fund"). Samsara Opportunity Fund GP, LLC is the general partner of Samsara Opportunity Fund and may be deemed to beneficially own the securities held by Samsara Opportunity Fund. The Reporting Person has voting and investment power over the shares held by Samsara Opportunity Fund and, accordingly, may be deemed to beneficially own the shares held by Samsara Opportunity Fund. The Reporting Person disclaims beneficial ownership in these securities except to the extent of his pecuniary interest therein.

Row 4 · 2026-09-08 · Sale · Disposed 48,065 · Balance 2,025,493

F4: The sales and purchases on September 8, 2026 were matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 48,066 shares in the case of Samsara LP and 48,065 shares in the case of Samsara Opportunity Fund, resulting in short-swing profit liability under Section 16(b). The Reporting Person has agreed to disgorge to the Issuer the short-swing profit realized in connection with these transactions, less transaction costs.

F5: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $10.38 to $10.91, inclusive. The Reporting Person undertake 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 securities sold at each separate price within the range set forth in this footnote.

F3: Shares are directly held by Samsara Opportunity Fund, L.P. ("Samsara Opportunity Fund"). Samsara Opportunity Fund GP, LLC is the general partner of Samsara Opportunity Fund and may be deemed to beneficially own the securities held by Samsara Opportunity Fund. The Reporting Person has voting and investment power over the shares held by Samsara Opportunity Fund and, accordingly, may be deemed to beneficially own the shares held by Samsara Opportunity Fund. The Reporting Person disclaims beneficial ownership in these securities except to the extent of his pecuniary interest therein.

Row 6 · 2026-09-08 · Purchase · Acquired 273,290 · Balance 2,298,783

F4: The sales and purchases on September 8, 2026 were matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 48,066 shares in the case of Samsara LP and 48,065 shares in the case of Samsara Opportunity Fund, resulting in short-swing profit liability under Section 16(b). The Reporting Person has agreed to disgorge to the Issuer the short-swing profit realized in connection with these transactions, less transaction costs.

F6: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $10.26 to $10.835, inclusive. The Reporting Person undertake 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 securities purchased at each separate price within the range set forth in this footnote.

F3: Shares are directly held by Samsara Opportunity Fund, L.P. ("Samsara Opportunity Fund"). Samsara Opportunity Fund GP, LLC is the general partner of Samsara Opportunity Fund and may be deemed to beneficially own the securities held by Samsara Opportunity Fund. The Reporting Person has voting and investment power over the shares held by Samsara Opportunity Fund and, accordingly, may be deemed to beneficially own the shares held by Samsara Opportunity Fund. The Reporting Person disclaims beneficial ownership in these securities except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeDirect3,553 Reported balance Holding disclosure · report date 2026-09-04 · row 7 Holding and transaction disclosures are not merged.
1 source row

Row 7 · Balance 3,553

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $11.02 to $11.60, inclusive. The Reporting Person undertake 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 securities purchased at each separate price within the range set forth in this footnote.

F2: Shares are directly held by Samsara BioCapital LP. ("Samsara LP"). The Reporting Person is a managing member of Samsara BioCapital GP, LLC, the general partner of Samsara LP. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F3: Shares are directly held by Samsara Opportunity Fund, L.P. ("Samsara Opportunity Fund"). Samsara Opportunity Fund GP, LLC is the general partner of Samsara Opportunity Fund and may be deemed to beneficially own the securities held by Samsara Opportunity Fund. The Reporting Person has voting and investment power over the shares held by Samsara Opportunity Fund and, accordingly, may be deemed to beneficially own the shares held by Samsara Opportunity Fund. The Reporting Person disclaims beneficial ownership in these securities except to the extent of his pecuniary interest therein.

F4: The sales and purchases on September 8, 2026 were matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 48,066 shares in the case of Samsara LP and 48,065 shares in the case of Samsara Opportunity Fund, resulting in short-swing profit liability under Section 16(b). The Reporting Person has agreed to disgorge to the Issuer the short-swing profit realized in connection with these transactions, less transaction costs.

F5: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $10.38 to $10.91, inclusive. The Reporting Person undertake 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 securities sold at each separate price within the range set forth in this footnote.

F6: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $10.26 to $10.835, inclusive. The Reporting Person undertake 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 securities purchased at each separate price within the range set forth in this footnote.

Jiya Acquisition Corp.

Report date September 23, 2022 · Filed September 23, 2022

Jointly reported with Jiya Holding Co LLC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class B Common StockSEC Table II · derivative / convertible securityIndirectSee Footnotes2,437,114 Reported balance After 2022-09-23 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2022-09-23 · Other · Acquired 29,667 · Balance 2,437,114

F1: The shares of Class B Common Stock of the Issuer ("Class B Shares") will automatically convert into shares of Class A Common Stock of the Issuer ("Class A Shares") on a one-for-one basis (subject to certain adjustments for stock splits, stock dividends, reorganizations, recapitalizations and similar transactions) concurrently with or immediately following the consummation of the Issuer's initial business combination, as described in the section entitled "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-249808) filed with the Securities and Exchange Commission on November 16, 2020. The Class B Shares have no expiration date.

F2: Reflects the forfeiture of Class B Shares held by an employee of the Issuer upon such employee's resignation from the Issuer. As a result, these Class B Shares were automatically returned to Jiya Holding Company LLC ("Jiya Holdco") for no consideration ($0).

F3: Reflects the Class B Shares held by Jiya Holdco. This amount does not reflect the 30,000 Class B shares directly held by Dr. Srinivas Akkaraju M.D., Ph.D.

F4: Jiya HoldCo is wholly owned by Samsara BioCapital, L.P. ("Samsara LP"). Dr. Akkaraju has voting and dispositive control over the reported securities held by Jiya Holdco via Dr. Akkaraju's control of Samsara LP's general partner, Samsara BioCapital GP, LLC. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of Class B Common Stock of the Issuer ("Class B Shares") will automatically convert into shares of Class A Common Stock of the Issuer ("Class A Shares") on a one-for-one basis (subject to certain adjustments for stock splits, stock dividends, reorganizations, recapitalizations and similar transactions) concurrently with or immediately following the consummation of the Issuer's initial business combination, as described in the section entitled "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-249808) filed with the Securities and Exchange Commission on November 16, 2020. The Class B Shares have no expiration date.

F2: Reflects the forfeiture of Class B Shares held by an employee of the Issuer upon such employee's resignation from the Issuer. As a result, these Class B Shares were automatically returned to Jiya Holding Company LLC ("Jiya Holdco") for no consideration ($0).

F3: Reflects the Class B Shares held by Jiya Holdco. This amount does not reflect the 30,000 Class B shares directly held by Dr. Srinivas Akkaraju M.D., Ph.D.

F4: Jiya HoldCo is wholly owned by Samsara BioCapital, L.P. ("Samsara LP"). Dr. Akkaraju has voting and dispositive control over the reported securities held by Jiya Holdco via Dr. Akkaraju's control of Samsara LP's general partner, Samsara BioCapital GP, LLC. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein.

Kalaris Therapeutics, Inc.

Report date June 03, 2026 · Filed June 04, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.72 · Expires 2036-06-02Direct9,000 Reported balance After 2026-06-03 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2026-06-03 · Grant · Acquired 9,000 · Balance 9,000

F1: The option was granted on June 3, 2026. The shares underlying the option are scheduled to vest in full on the earlier of (i) June 3, 2027 or (ii) the date of the Issuer's 2027 Annual Meeting of Stockholders, subject to continued service.

Filing footnotes · ownership attribution and instrument terms

F1: The option was granted on June 3, 2026. The shares underlying the option are scheduled to vest in full on the earlier of (i) June 3, 2027 or (ii) the date of the Issuer's 2027 Annual Meeting of Stockholders, subject to continued service.

LENZ Therapeutics, Inc.

Report date April 11, 2022 · Filed April 13, 2022

Jointly reported with Samsara BioCapital, L.P.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Samsara BioCapital, L.P.8,459,314 Last balance in matching sequence After 2022-04-12 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2022-04-11 · Purchase · Acquired 74,464 · Balance 8,109,314

F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.97 to $4.10 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 purchased at each separate price within the range set forth in this footnote.

F2: Shares are held by Samsara BioCapital, L.P. ("Samsara LP"). Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara LP and may be deemed to beneficially own the shares held by Samsara LP. Dr. Srinivas Akkaraju, MD, Ph.D. has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of Samsara LLC and Dr. Akkaraju disclaims beneficial ownership in these shares except to the extent of his or its respective pecuniary interest therein.

Row 2 · 2022-04-12 · Purchase · Acquired 350,000 · Balance 8,459,314

F3: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.05 to $4.10 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 purchased at each separate price within the range set forth in this footnote.

F2: Shares are held by Samsara BioCapital, L.P. ("Samsara LP"). Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara LP and may be deemed to beneficially own the shares held by Samsara LP. Dr. Srinivas Akkaraju, MD, Ph.D. has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of Samsara LLC and Dr. Akkaraju disclaims beneficial ownership in these shares except to the extent of his or its respective pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy 436, L.P.37,753 Reported balance Holding disclosure · report date 2022-04-11 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 37,753

F4: Shares are held by 436, L.P. ("436 LP"). 436, LLC ("436 LLC") is the general partner of 436 LP and may be deemed to beneficially own the shares held by 436 LP. Dr. Srinivas Akkaraju, MD, Ph.D. has voting and investment power over the shares held by 436 LP and, accordingly, may be deemed to beneficially own the shares held by 436 LP. Dr. Akkaraju disclaims beneficial ownership in these shares except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.97 to $4.10 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 purchased at each separate price within the range set forth in this footnote.

F2: Shares are held by Samsara BioCapital, L.P. ("Samsara LP"). Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara LP and may be deemed to beneficially own the shares held by Samsara LP. Dr. Srinivas Akkaraju, MD, Ph.D. has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of Samsara LLC and Dr. Akkaraju disclaims beneficial ownership in these shares except to the extent of his or its respective pecuniary interest therein.

F3: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.05 to $4.10 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 purchased at each separate price within the range set forth in this footnote.

F4: Shares are held by 436, L.P. ("436 LP"). 436, LLC ("436 LLC") is the general partner of 436 LP and may be deemed to beneficially own the shares held by 436 LP. Dr. Srinivas Akkaraju, MD, Ph.D. has voting and investment power over the shares held by 436 LP and, accordingly, may be deemed to beneficially own the shares held by 436 LP. Dr. Akkaraju disclaims beneficial ownership in these shares except to the extent of his pecuniary interest therein.

Mineralys Therapeutics, Inc.

Report date February 19, 2026 · Filed February 21, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect6,200 Reported balance After 2026-02-19 transaction · row 1
1 source row

Row 1 · 2026-02-19 · Grant · Acquired 6,200 · Balance 6,200

F1: Restricted Stock Units (RSUs) are granted to the reporting person for no additional cash consideration, each of which represents a contingent right to receive one share of common stock upon vesting of these RSUs in one annual installment following the date of grant.

Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $28.06 · Expires 2036-02-19Direct8,300 Reported balance After 2026-02-19 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2026-02-19 · Grant · Acquired 8,300 · Balance 8,300

F3: The stock option vests in 12 substantially equal monthly installments following the date of grant.

Common StockSEC Table I · non-derivativeIndirectSee footnote5,871,018 Reported balance Holding disclosure · report date 2026-02-19 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 5,871,018

F2: Of this amount, 588,235 shares are directly held by Samsara Opportunity Fund, L.P. (Samsara Opp LP). Samsara Opportunity Fund GP, LLC (Samsara Opp GP) is the general partner of Samsara Opp LP and may be deemed to beneficially own the securities held by Samsara Opp LP. Dr. Akkaraju has voting and investment power over the shares held by Samsara Opp LP and, accordingly, may be deemed to beneficially own the shares held by Samsara Opp LP. Also, of this amount, 5,282,783 shares are directly held by Samsara BioCapital L.P. (Samsara LP). Samsara BioCapital GP, LLC (Samsara LLC) is the general partner of Samsara LP and may be deemed to beneficially own the securities held by Samsara LP. Dr. Akkaraju has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Dr. Akkaraju disclaims beneficial ownership in these securities except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Restricted Stock Units (RSUs) are granted to the reporting person for no additional cash consideration, each of which represents a contingent right to receive one share of common stock upon vesting of these RSUs in one annual installment following the date of grant.

F2: Of this amount, 588,235 shares are directly held by Samsara Opportunity Fund, L.P. (Samsara Opp LP). Samsara Opportunity Fund GP, LLC (Samsara Opp GP) is the general partner of Samsara Opp LP and may be deemed to beneficially own the securities held by Samsara Opp LP. Dr. Akkaraju has voting and investment power over the shares held by Samsara Opp LP and, accordingly, may be deemed to beneficially own the shares held by Samsara Opp LP. Also, of this amount, 5,282,783 shares are directly held by Samsara BioCapital L.P. (Samsara LP). Samsara BioCapital GP, LLC (Samsara LLC) is the general partner of Samsara LP and may be deemed to beneficially own the securities held by Samsara LP. Dr. Akkaraju has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Dr. Akkaraju disclaims beneficial ownership in these securities except to the extent of his pecuniary interest therein.

F3: The stock option vests in 12 substantially equal monthly installments following the date of grant.

Neurogene Inc.

Report date November 26, 2024 · Filed November 27, 2024

Jointly reported with Samsara BioCapital GP, LLC, Samsara BioCapital, L.P.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Samsara BioCapital, L.P.1,717,127 Last balance in matching sequence After 2024-11-26 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rows

Row 1 · 2024-11-26 · Purchase · Acquired 20,748 · Balance 1,689,105

F1: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $24.25 to $25.23 inclusive. The Reporting Persons undertake 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 securities purchased at each separate price within the range set forth in this footnote.

F2: Securities are held by Samsara BioCapital L.P. ("Samsara LP"). Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara LP and may be deemed to beneficially own the shares held by Samsara LP. Dr. Srinivas Akkaraju, MD, Ph.D. has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of the Reporting Persons disclaims beneficial ownership in these shares except to the extent of its or his respective pecuniary interest therein.

Row 2 · 2024-11-26 · Purchase · Acquired 10,803 · Balance 1,699,908

F3: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $25.47 to $26.44 inclusive. The Reporting Persons undertake 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 securities purchased at each separate price within the range set forth in this footnote.

F2: Securities are held by Samsara BioCapital L.P. ("Samsara LP"). Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara LP and may be deemed to beneficially own the shares held by Samsara LP. Dr. Srinivas Akkaraju, MD, Ph.D. has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of the Reporting Persons disclaims beneficial ownership in these shares except to the extent of its or his respective pecuniary interest therein.

Row 3 · 2024-11-26 · Purchase · Acquired 15,219 · Balance 1,715,127

F4: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $26.46 to $26.90 inclusive. The Reporting Persons undertake 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 securities purchased at each separate price within the range set forth in this footnote.

F2: Securities are held by Samsara BioCapital L.P. ("Samsara LP"). Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara LP and may be deemed to beneficially own the shares held by Samsara LP. Dr. Srinivas Akkaraju, MD, Ph.D. has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of the Reporting Persons disclaims beneficial ownership in these shares except to the extent of its or his respective pecuniary interest therein.

Row 4 · 2024-11-26 · Purchase · Acquired 2,000 · Balance 1,717,127

F5: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $27.48 to $27.50 inclusive. The Reporting Persons undertake 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 securities purchased at each separate price within the range set forth in this footnote.

F2: Securities are held by Samsara BioCapital L.P. ("Samsara LP"). Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara LP and may be deemed to beneficially own the shares held by Samsara LP. Dr. Srinivas Akkaraju, MD, Ph.D. has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of the Reporting Persons disclaims beneficial ownership in these shares except to the extent of its or his respective pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $24.25 to $25.23 inclusive. The Reporting Persons undertake 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 securities purchased at each separate price within the range set forth in this footnote.

F2: Securities are held by Samsara BioCapital L.P. ("Samsara LP"). Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara LP and may be deemed to beneficially own the shares held by Samsara LP. Dr. Srinivas Akkaraju, MD, Ph.D. has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of the Reporting Persons disclaims beneficial ownership in these shares except to the extent of its or his respective pecuniary interest therein.

F3: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $25.47 to $26.44 inclusive. The Reporting Persons undertake 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 securities purchased at each separate price within the range set forth in this footnote.

F4: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $26.46 to $26.90 inclusive. The Reporting Persons undertake 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 securities purchased at each separate price within the range set forth in this footnote.

F5: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions at prices ranging from $27.48 to $27.50 inclusive. The Reporting Persons undertake 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 securities purchased at each separate price within the range set forth in this footnote.

Principia Biopharma Inc.

Report date September 13, 2018 · Filed January 11, 2019

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.00 · Expires 2028-09-12Direct20,475 Reported balance After 2018-09-13 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2018-09-13 · Grant · Acquired 20,475 · Balance 20,475

F1: The stock option vests in equal monthly installments over a three year period, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: The stock option vests in equal monthly installments over a three year period, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date.

Scholar Rock Holding Corp

Report date June 04, 2026 · Filed June 08, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect27,971 Reported balance After 2026-06-04 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2026-06-04 · Grant · Acquired 6,839 · Balance 27,971

F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The shares subject to this RSU vest on the earlier of June 15, 2027 or on the date of the Issuer's next Annual Meeting subject to continued service to the Issuer through such date.

F2: Consists of 21,132 shares of common stock and 6,839 RSUs.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $45.33 · Expires 2036-06-04Direct4,310 Reported balance After 2026-06-04 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2026-06-04 · Grant · Acquired 4,310 · Balance 4,310

F5: Options to vest and become fully exercisable on the earlier of the first anniversary following the date of grant or on the date of the Issuer's next Annual Meeting, subject to continued service to the Issuer through such date.

Common StockSEC Table I · non-derivativeIndirectBy Samsara Opportunity Fund, L.P.530,038 Reported balance Holding disclosure · report date 2026-06-04 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 530,038

F3: Securities are directly held by Samsara Opportunity Fund, L.P. ("Samsara Opportunity Fund"). Samsara Opportunity Fund GP, LLC ("Samsara Opportunity GP") is the general partner of Samsara Opportunity Fund and may be deemed to beneficially own the securities held by Samsara Opportunity Fund. The Reporting Person has voting and investment power over the securities held by Samsara Opportunity Fund and, accordingly, may be deemed to beneficially own the securities held by Samsara Opportunity Fund. The Reporting Person disclaims beneficial ownership in these securities except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Samsara BioCapital, L.P.6,367,614 Reported balance Holding disclosure · report date 2026-06-04 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 6,367,614

F4: Securities are directly held by Samsara BioCapital LP ("Samsara LP"). Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara LP and may be deemed to beneficially own the securities held by Samsara LP. The Reporting Person has voting and investment power over the securities held by Samsara LP and, accordingly, may be deemed to beneficially own the securities held by Samsara LP. The Reporting Person disclaims beneficial ownership in these securities except to the extent of his pecuniary interest therein. held by Samsara Opportunity Fund. The Reporting Person has voting and investment power over the securities held by Samsara Opportunity Fund and, accordingly, may be deemed to beneficially own the securities held by Samsara Opportunity Fund. The Reporting Person disclaims beneficial ownership in these securities except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The shares subject to this RSU vest on the earlier of June 15, 2027 or on the date of the Issuer's next Annual Meeting subject to continued service to the Issuer through such date.

F2: Consists of 21,132 shares of common stock and 6,839 RSUs.

F3: Securities are directly held by Samsara Opportunity Fund, L.P. ("Samsara Opportunity Fund"). Samsara Opportunity Fund GP, LLC ("Samsara Opportunity GP") is the general partner of Samsara Opportunity Fund and may be deemed to beneficially own the securities held by Samsara Opportunity Fund. The Reporting Person has voting and investment power over the securities held by Samsara Opportunity Fund and, accordingly, may be deemed to beneficially own the securities held by Samsara Opportunity Fund. The Reporting Person disclaims beneficial ownership in these securities except to the extent of his pecuniary interest therein.

F4: Securities are directly held by Samsara BioCapital LP ("Samsara LP"). Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara LP and may be deemed to beneficially own the securities held by Samsara LP. The Reporting Person has voting and investment power over the securities held by Samsara LP and, accordingly, may be deemed to beneficially own the securities held by Samsara LP. The Reporting Person disclaims beneficial ownership in these securities except to the extent of his pecuniary interest therein. held by Samsara Opportunity Fund. The Reporting Person has voting and investment power over the securities held by Samsara Opportunity Fund and, accordingly, may be deemed to beneficially own the securities held by Samsara Opportunity Fund. The Reporting Person disclaims beneficial ownership in these securities except to the extent of his pecuniary interest therein.

F5: Options to vest and become fully exercisable on the earlier of the first anniversary following the date of grant or on the date of the Issuer's next Annual Meeting, subject to continued service to the Issuer through such date.

Seagen Inc.

Report date May 15, 2020 · Filed May 19, 2020

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect41,503 Reported balance After 2020-05-15 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2020-05-15 · Grant · Acquired 1,335 · Balance 41,503

F1: These restricted stock units will be settled in common stock upon vesting.

F2: These restricted stock units shall vest in full on May 15, 2021.

F3: Amount of securities beneficially owned following reported transactions includes restricted stock units subject to vesting.

Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $160.33 · Expires 2030-05-15Direct3,171 Reported balance After 2020-05-15 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2020-05-15 · Grant · Acquired 3,171 · Balance 3,171

Filing footnotes · ownership attribution and instrument terms

F1: These restricted stock units will be settled in common stock upon vesting.

F2: These restricted stock units shall vest in full on May 15, 2021.

F3: Amount of securities beneficially owned following reported transactions includes restricted stock units subject to vesting.

Syros Pharmaceuticals, Inc.

Report date September 16, 2024 · Filed September 18, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect9,333 Reported balance After 2024-09-16 transaction · row 1
1 source row

Row 1 · 2024-09-16 · Exercise / conversion · Acquired 2,667 · Balance 9,333

F1: Represents shares of common stock received upon vesting of a restricted stock unit ("RSU") award.

Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect2,667 Reported balance After 2024-09-16 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2024-09-16 · Exercise / conversion · Disposed 2,667 · Balance 2,667

F2: Each RSU represents the contingent right to receive one share of the issuer's common stock.

F3: Represents a restricted stock unit award granted on September 16, 2022. These restricted stock units vest in three equal annual installments commencing on September 16, 2023.

Filing footnotes · ownership attribution and instrument terms

F1: Represents shares of common stock received upon vesting of a restricted stock unit ("RSU") award.

F2: Each RSU represents the contingent right to receive one share of the issuer's common stock.

F3: Represents a restricted stock unit award granted on September 16, 2022. These restricted stock units vest in three equal annual installments commencing on September 16, 2023.

aTYR PHARMA INC

Report date May 09, 2017 · Filed May 11, 2017

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.15 · Expires 2027-05-09Direct20,000 Reported balance After 2017-05-09 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2017-05-09 · Grant · Acquired 20,000 · Balance 20,000

F1: The shares subject to this option shall vest and become exercisable on the earlier of (i) May 09, 2018 or (ii) the date of the 2018 Annual Meeting of Stockholders, subject to the recipient's continued service on the Issuer's Board of Directors.

Filing footnotes · ownership attribution and instrument terms

F1: The shares subject to this option shall vest and become exercisable on the earlier of (i) May 09, 2018 or (ii) the date of the 2018 Annual Meeting of Stockholders, subject to the recipient's continued service on the Issuer's Board of Directors.

vTv Therapeutics Inc.

Report date June 26, 2026 · Filed June 29, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Director stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $35.08 · Expires 2036-06-26Direct16,983 Reported balance After 2026-06-26 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2026-06-26 · Grant · Acquired 6,000 · Balance 16,983

F1: The option vests on the earlier of June 26, 2027, and the date of the 2027 annual general meeting of shareholders, subject to the director's continued service on the board of directors through such vesting.

Filing footnotes · ownership attribution and instrument terms

F1: The option vests on the earlier of June 26, 2027, and the date of the 2027 annual general meeting of shareholders, subject to the director's continued service on the board of directors through such vesting.

Past disclosures · reporting ended (4)

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

Aravive, Inc.

Report date April 08, 2020 · Filed April 09, 2020

Section 16 reporting ended · disclosed 2020-04-09. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

CARGO Therapeutics, Inc.

Report date May 30, 2024 · Filed June 04, 2024

Jointly reported with Samsara BioCapital GP, LLC, Samsara BioCapital, L.P.

Section 16 reporting ended · disclosed 2024-06-04. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Samsara BioCapital, L.P.4,415,689 Reported balance After 2024-05-30 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2024-05-30 · Purchase · Acquired 294,000 · Balance 4,415,689

F1: Shares are held by Samsara BioCapital L.P. ("Samsara LP"). Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara LP and may be deemed to beneficially own the shares held by Samsara LP. Dr. Srinivas Akkaraju, MD, Ph.D. has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of the Reporting Persons disclaims beneficial ownership in these shares except to the extent of its or his respective pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Shares are held by Samsara BioCapital L.P. ("Samsara LP"). Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara LP and may be deemed to beneficially own the shares held by Samsara LP. Dr. Srinivas Akkaraju, MD, Ph.D. has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of the Reporting Persons disclaims beneficial ownership in these shares except to the extent of its or his respective pecuniary interest therein.

CHINOOK THERAPEUTICS, INC.

Report date August 11, 2023 · Filed August 11, 2023

Section 16 reporting ended · disclosed 2023-08-11. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2023-08-11 transaction · row 1
1 source row

Row 1 · 2023-08-11 · Disposition to issuer · Disposed 3,300 · Balance 0

F1: The reported securities were disposed of pursuant to the Merger Agreement (defined in the Remarks below). Upon effectiveness of the Merger (defined in the Remarks below), in exchange for each share of the Issuer's Common Stock, the reporting person received: (i) $40.00 in cash, without interest and less applicable withholding taxes; and (ii) one contractual contingent value right (each, a "CVR"), entitling the reporting person to additional cash payments upon the achievement of certain future business milestones pursuant to the Contingent Value Rights Agreement (the "Contingent Value Rights Agreement") entered into concurrent with completion of the Merger.

Common StockSEC Table I · non-derivativeIndirectBy Samsara BioCapital, L.P.0 Reported balance After 2023-08-11 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2023-08-11 · Disposition to issuer · Disposed 5,161,888 · Balance 0

F1: The reported securities were disposed of pursuant to the Merger Agreement (defined in the Remarks below). Upon effectiveness of the Merger (defined in the Remarks below), in exchange for each share of the Issuer's Common Stock, the reporting person received: (i) $40.00 in cash, without interest and less applicable withholding taxes; and (ii) one contractual contingent value right (each, a "CVR"), entitling the reporting person to additional cash payments upon the achievement of certain future business milestones pursuant to the Contingent Value Rights Agreement (the "Contingent Value Rights Agreement") entered into concurrent with completion of the Merger.

F2: Shares held by Samsara BioCapital, L.P. ("Samsara BioCapital"). The reporting person is a managing member of Samsara BioCapital GP, LLC, the general partner of Samsara BioCapital. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest therein.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.77 · Expires 2030-10-05Direct0 Reported balance After 2023-08-11 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2023-08-11 · Disposition to issuer · Disposed 23,522 · Balance 0

F3: This stock option award, which provided for ratable vesting in 36 monthly installments beginning on November 6, 2020, became fully vested and was canceled upon effectiveness of the Merger, and was converted into the right to receive, with respect to each share of the Issuer's Common Stock underlying such option, (i) a cash payment representing the excess, if any, of the per share merger consideration ($40.00 per share) over the per share exercise price for such option, without interest, and (ii) one CVR, entitling the reporting person to additional cash payments upon the achievement of certain future business milestones pursuant to the Contingent Value Rights Agreement entered into concurrent with the completion of the Merger, in each case subject to applicable withholding taxes.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.81 · Expires 2031-06-03Direct0 Reported balance After 2023-08-11 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2023-08-11 · Disposition to issuer · Disposed 5,948 · Balance 0

F4: This stock option award, which vested in full upon the earlier of the one year anniversary of the grant date or the date of the Issuer's next annual stockholders' meeting, was canceled upon effectiveness of the Merger, and was converted into the right to receive, with respect to each share of the Issuer's Common Stock underlying such option, (i) a cash payment representing the excess, if any, of the per share merger consideration ($40.00 per share) over the per share exercise price for such option, without interest, and (ii) one CVR, entitling the reporting person to additional cash payments upon the achievement of certain future business milestones pursuant to the Contingent Value Rights Agreement entered into concurrent with the completion of the Merger, in each case subject to applicable withholding taxes.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.88 · Expires 2032-05-25Direct0 Reported balance After 2023-08-11 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2023-08-11 · Disposition to issuer · Disposed 13,300 · Balance 0

F4: This stock option award, which vested in full upon the earlier of the one year anniversary of the grant date or the date of the Issuer's next annual stockholders' meeting, was canceled upon effectiveness of the Merger, and was converted into the right to receive, with respect to each share of the Issuer's Common Stock underlying such option, (i) a cash payment representing the excess, if any, of the per share merger consideration ($40.00 per share) over the per share exercise price for such option, without interest, and (ii) one CVR, entitling the reporting person to additional cash payments upon the achievement of certain future business milestones pursuant to the Contingent Value Rights Agreement entered into concurrent with the completion of the Merger, in each case subject to applicable withholding taxes.

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities were disposed of pursuant to the Merger Agreement (defined in the Remarks below). Upon effectiveness of the Merger (defined in the Remarks below), in exchange for each share of the Issuer's Common Stock, the reporting person received: (i) $40.00 in cash, without interest and less applicable withholding taxes; and (ii) one contractual contingent value right (each, a "CVR"), entitling the reporting person to additional cash payments upon the achievement of certain future business milestones pursuant to the Contingent Value Rights Agreement (the "Contingent Value Rights Agreement") entered into concurrent with completion of the Merger.

F2: Shares held by Samsara BioCapital, L.P. ("Samsara BioCapital"). The reporting person is a managing member of Samsara BioCapital GP, LLC, the general partner of Samsara BioCapital. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest therein.

F3: This stock option award, which provided for ratable vesting in 36 monthly installments beginning on November 6, 2020, became fully vested and was canceled upon effectiveness of the Merger, and was converted into the right to receive, with respect to each share of the Issuer's Common Stock underlying such option, (i) a cash payment representing the excess, if any, of the per share merger consideration ($40.00 per share) over the per share exercise price for such option, without interest, and (ii) one CVR, entitling the reporting person to additional cash payments upon the achievement of certain future business milestones pursuant to the Contingent Value Rights Agreement entered into concurrent with the completion of the Merger, in each case subject to applicable withholding taxes.

F4: This stock option award, which vested in full upon the earlier of the one year anniversary of the grant date or the date of the Issuer's next annual stockholders' meeting, was canceled upon effectiveness of the Merger, and was converted into the right to receive, with respect to each share of the Issuer's Common Stock underlying such option, (i) a cash payment representing the excess, if any, of the per share merger consideration ($40.00 per share) over the per share exercise price for such option, without interest, and (ii) one CVR, entitling the reporting person to additional cash payments upon the achievement of certain future business milestones pursuant to the Contingent Value Rights Agreement entered into concurrent with the completion of the Merger, in each case subject to applicable withholding taxes.

INTERCEPT PHARMACEUTICALS, INC.

Report date November 08, 2023 · Filed November 13, 2023

Section 16 reporting ended · disclosed 2023-11-13. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2023-11-08 transaction · row 1 Sequence does not reconcile; account continuity is unresolved.
1 source row

Row 1 · 2023-11-08 · Other · Disposed 37,887 · Balance 0

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 26, 2023, among the Issuer, Alfasigma S.p.A. ("Alfasigma"), and Interstellar Acquisition Inc., a wholly owned subsidiary of Alfasigma ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of November 8, 2023 (such date and time of such merger, the "Effective Time"). At the Effective Time, each issued and outstanding share of Company Common Stock was cancelled and converted into the right to receive $19.00 in cash (the "Offer Price") without interest and subject to applicable withholding taxes.

Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2023-11-08 transaction · row 3 Sequence does not reconcile; account continuity is unresolved.
1 source row

Row 3 · 2023-11-08 · Disposition to issuer · Disposed 8,111 · Balance 0

F3: Represents restricted stock units ("RSUs") granted to the Reporting Person. Each RSU represented a contingent right to receive one share of Company Common Stock upon vesting of the RSU.

F4: Pursuant to the Merger Agreement, at the Effective Time, each RSU that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the contingent right to receive a cash payment (without interest and subject to any applicable tax withholding) equal to (A) the Offer Price, multiplied by (B) the number of shares of Company Common Stock subject to such RSU. Such payment right will vest and become payable in accordance with vesting schedule (including any vesting acceleration provisions) that applied to the corresponding portion of the applicable RSUs immediately prior to the Effective Time.

Common StockSEC Table I · non-derivativeIndirectSee footnote0 Reported balance After 2023-11-08 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2023-11-08 · Other · Disposed 640,688 · Balance 0

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 26, 2023, among the Issuer, Alfasigma S.p.A. ("Alfasigma"), and Interstellar Acquisition Inc., a wholly owned subsidiary of Alfasigma ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of November 8, 2023 (such date and time of such merger, the "Effective Time"). At the Effective Time, each issued and outstanding share of Company Common Stock was cancelled and converted into the right to receive $19.00 in cash (the "Offer Price") without interest and subject to applicable withholding taxes.

F2: Shares held by Samsara BioCapital, L.P. ("Samsara BioCapital"). The Reporting Person is a managing member of Samsara BioCapital GP, LLC, the general partner of Samsara BioCapital. The Reporting Person disclaims beneficial ownership of these shares except to the extent of the Reporting Person's pecuniary interest therein.

Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $17.08Direct0 Reported balance After 2023-11-08 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2023-11-08 · Disposition to issuer · Disposed 12,089 · Balance 0

F5: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Offer Price, was cancelled and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option immediately prior to the Effective Time.

Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $16.82Direct0 Reported balance After 2023-11-08 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2023-11-08 · Disposition to issuer · Disposed 12,790 · Balance 0

F5: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Offer Price, was cancelled and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option immediately prior to the Effective Time.

Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $9.17Direct0 Reported balance After 2023-11-08 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2023-11-08 · Disposition to issuer · Disposed 12,547 · Balance 0

F5: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Offer Price, was cancelled and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option immediately prior to the Effective Time.

Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $210.36Direct0 Reported balance After 2023-11-08 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2023-11-08 · Disposition to issuer · Disposed 275 · Balance 0

F6: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $183.62Direct0 Reported balance After 2023-11-08 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2023-11-08 · Disposition to issuer · Disposed 1,750 · Balance 0

F6: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $145.22Direct0 Reported balance After 2023-11-08 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2023-11-08 · Disposition to issuer · Disposed 1,598 · Balance 0

F6: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $122.01Direct0 Reported balance After 2023-11-08 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2023-11-08 · Disposition to issuer · Disposed 2,036 · Balance 0

F6: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $85.12Direct0 Reported balance After 2023-11-08 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2023-11-08 · Disposition to issuer · Disposed 2,748 · Balance 0

F6: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $82.25Direct0 Reported balance After 2023-11-08 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2023-11-08 · Disposition to issuer · Disposed 2,174 · Balance 0

F6: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $72.74Direct0 Reported balance After 2023-11-08 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2023-11-08 · Disposition to issuer · Disposed 2,966 · Balance 0

F6: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 26, 2023, among the Issuer, Alfasigma S.p.A. ("Alfasigma"), and Interstellar Acquisition Inc., a wholly owned subsidiary of Alfasigma ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of November 8, 2023 (such date and time of such merger, the "Effective Time"). At the Effective Time, each issued and outstanding share of Company Common Stock was cancelled and converted into the right to receive $19.00 in cash (the "Offer Price") without interest and subject to applicable withholding taxes.

F2: Shares held by Samsara BioCapital, L.P. ("Samsara BioCapital"). The Reporting Person is a managing member of Samsara BioCapital GP, LLC, the general partner of Samsara BioCapital. The Reporting Person disclaims beneficial ownership of these shares except to the extent of the Reporting Person's pecuniary interest therein.

F3: Represents restricted stock units ("RSUs") granted to the Reporting Person. Each RSU represented a contingent right to receive one share of Company Common Stock upon vesting of the RSU.

F4: Pursuant to the Merger Agreement, at the Effective Time, each RSU that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the contingent right to receive a cash payment (without interest and subject to any applicable tax withholding) equal to (A) the Offer Price, multiplied by (B) the number of shares of Company Common Stock subject to such RSU. Such payment right will vest and become payable in accordance with vesting schedule (including any vesting acceleration provisions) that applied to the corresponding portion of the applicable RSUs immediately prior to the Effective Time.

F5: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Offer Price, was cancelled and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option immediately prior to the Effective Time.

F6: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

Transaction history

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

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Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
November 08, 2023 Filed Nov 13, 2023 14:51 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 Disposition to issuerOption to Purchase Common Stock · Derivative 2,966 Not disclosed Strike: $72.74 Not disclosed
Disclosure

SEC source: 0001104659-23-117119 · tm2330435-17_4seq1.xml · derivative · entry 13

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,966 shares

Expires not disclosed

F6 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F6 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F6 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

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November 08, 2023 Filed Nov 13, 2023 14:51 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 Disposition to issuerOption to Purchase Common Stock · Derivative 2,174 Not disclosed Strike: $82.25 Not disclosed
Disclosure

SEC source: 0001104659-23-117119 · tm2330435-17_4seq1.xml · derivative · entry 12

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,174 shares

Expires not disclosed

F6 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F6 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F6 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

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November 08, 2023 Filed Nov 13, 2023 14:51 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 Disposition to issuerOption to Purchase Common Stock · Derivative 2,748 Not disclosed Strike: $85.12 Not disclosed
Disclosure

SEC source: 0001104659-23-117119 · tm2330435-17_4seq1.xml · derivative · entry 11

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,748 shares

Expires not disclosed

F6 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F6 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F6 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

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November 08, 2023 Filed Nov 13, 2023 14:51 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 Disposition to issuerOption to Purchase Common Stock · Derivative 2,036 Not disclosed Strike: $122.01 Not disclosed
Disclosure

SEC source: 0001104659-23-117119 · tm2330435-17_4seq1.xml · derivative · entry 10

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,036 shares

Expires not disclosed

F6 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F6 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F6 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

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November 08, 2023 Filed Nov 13, 2023 14:51 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 Disposition to issuerOption to Purchase Common Stock · Derivative 1,598 Not disclosed Strike: $145.22 Not disclosed
Disclosure

SEC source: 0001104659-23-117119 · tm2330435-17_4seq1.xml · derivative · entry 9

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,598 shares

Expires not disclosed

F6 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F6 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F6 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

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November 08, 2023 Filed Nov 13, 2023 14:51 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 Disposition to issuerOption to Purchase Common Stock · Derivative 1,750 Not disclosed Strike: $183.62 Not disclosed
Disclosure

SEC source: 0001104659-23-117119 · tm2330435-17_4seq1.xml · derivative · entry 8

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,750 shares

Expires not disclosed

F6 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F6 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F6 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

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November 08, 2023 Filed Nov 13, 2023 14:51 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 Disposition to issuerOption to Purchase Common Stock · Derivative 275 Not disclosed Strike: $210.36 Not disclosed
Disclosure

SEC source: 0001104659-23-117119 · tm2330435-17_4seq1.xml · derivative · entry 7

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 275 shares

Expires not disclosed

F6 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F6 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

F6 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was equal to or greater than the Offer Price was cancelled with no consideration payable in respect thereof.

Read SEC document
November 08, 2023 Filed Nov 13, 2023 14:51 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 Disposition to issuerOption to Purchase Common Stock · Derivative 12,547 Not disclosed Strike: $9.17 Not disclosed
Disclosure

SEC source: 0001104659-23-117119 · tm2330435-17_4seq1.xml · derivative · entry 6

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,547 shares

Expires not disclosed

F5 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Offer Price, was cancelled and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option immediately prior to the Effective Time.

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Offer Price, was cancelled and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option immediately prior to the Effective Time.

F5 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Offer Price, was cancelled and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option immediately prior to the Effective Time.

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November 08, 2023 Filed Nov 13, 2023 14:51 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 Disposition to issuerOption to Purchase Common Stock · Derivative 12,790 Not disclosed Strike: $16.82 Not disclosed
Disclosure

SEC source: 0001104659-23-117119 · tm2330435-17_4seq1.xml · derivative · entry 5

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,790 shares

Expires not disclosed

F5 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Offer Price, was cancelled and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option immediately prior to the Effective Time.

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Offer Price, was cancelled and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option immediately prior to the Effective Time.

F5 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Offer Price, was cancelled and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option immediately prior to the Effective Time.

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November 08, 2023 Filed Nov 13, 2023 14:51 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 Disposition to issuerOption to Purchase Common Stock · Derivative 12,089 Not disclosed Strike: $17.08 Not disclosed
Disclosure

SEC source: 0001104659-23-117119 · tm2330435-17_4seq1.xml · derivative · entry 4

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,089 shares

Expires not disclosed

F5 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Offer Price, was cancelled and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option immediately prior to the Effective Time.

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Offer Price, was cancelled and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option immediately prior to the Effective Time.

F5 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Offer Price, was cancelled and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option immediately prior to the Effective Time.

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November 08, 2023 Filed Nov 13, 2023 14:51 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 Disposition to issuerCommon Stock 8,111 $19.00 $154,109.00
Disclosure

SEC source: 0001104659-23-117119 · tm2330435-17_4seq1.xml · nonDerivative · entry 3

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F3 · shares: Represents restricted stock units ("RSUs") granted to the Reporting Person. Each RSU represented a contingent right to receive one share of Company Common Stock upon vesting of the RSU.

F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each RSU that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the contingent right to receive a cash payment (without interest and subject to any applicable tax withholding) equal to (A) the Offer Price, multiplied by (B) the number of shares of Company Common Stock subject to such RSU. Such payment right will vest and become payable in accordance with vesting schedule (including any vesting acceleration provisions) that applied to the corresponding portion of the applicable RSUs immediately prior to the Effective Time.

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November 08, 2023 Filed Nov 13, 2023 14:51 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 OtherCommon Stock 640,688 $19.00 $12,173,072.00
Disclosure

SEC source: 0001104659-23-117119 · tm2330435-17_4seq1.xml · nonDerivative · entry 2

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 26, 2023, among the Issuer, Alfasigma S.p.A. ("Alfasigma"), and Interstellar Acquisition Inc., a wholly owned subsidiary of Alfasigma ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of November 8, 2023 (such date and time of such merger, the "Effective Time"). At the Effective Time, each issued and outstanding share of Company Common Stock was cancelled and converted into the right to receive $19.00 in cash (the "Offer Price") without interest and subject to applicable withholding taxes.

F2 · ownership.nature: Shares held by Samsara BioCapital, L.P. ("Samsara BioCapital"). The Reporting Person is a managing member of Samsara BioCapital GP, LLC, the general partner of Samsara BioCapital. The Reporting Person disclaims beneficial ownership of these shares except to the extent of the Reporting Person's pecuniary interest therein.

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November 08, 2023 Filed Nov 13, 2023 14:51 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 OtherCommon Stock 37,887 $19.00 $719,853.00
Disclosure

SEC source: 0001104659-23-117119 · tm2330435-17_4seq1.xml · nonDerivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 26, 2023, among the Issuer, Alfasigma S.p.A. ("Alfasigma"), and Interstellar Acquisition Inc., a wholly owned subsidiary of Alfasigma ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of November 8, 2023 (such date and time of such merger, the "Effective Time"). At the Effective Time, each issued and outstanding share of Company Common Stock was cancelled and converted into the right to receive $19.00 in cash (the "Offer Price") without interest and subject to applicable withholding taxes.

Read SEC document
October 16, 2023 Filed Oct 18, 2023 21:46 UTC Scholar Rock Holding Corp SRRK · Entity 3721 PurchaseCommon Stock 2,189,781 $6.85 $14,999,999.85
Disclosure

SEC source: 0001209191-23-053113 · doc4.xml · nonDerivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Samsara BioCapital, L.P.

Disclosed balance after: 6,788,609

F1 · ownership.nature: Shares held by Samsara BioCapital LP ("Samsara LP"). The Reporting Person is a managing member of Samsara BioCapital GP, LLC, the general partner of Samsara LP. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

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September 16, 2023 Filed Sep 19, 2023 20:46 UTC Syros Pharmaceuticals, Inc. SYRS · Entity 85437 Exercise / conversionRestricted Stock Units · Derivative 2,666 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-049974 · doc4.xml · derivative · entry 2

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,334

Underlying: Common Stock · 2,666 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one share of the issuer's common stock.

F3 · derivative.exercise_date: Represents a restricted stock unit award granted on September 16, 2022. These restricted stock units vest in three equal annual installments commencing on September 16, 2023.

F3 · derivative.expiration_date: Represents a restricted stock unit award granted on September 16, 2022. These restricted stock units vest in three equal annual installments commencing on September 16, 2023.

Read SEC document
September 16, 2023 Filed Sep 19, 2023 20:46 UTC Syros Pharmaceuticals, Inc. SYRS · Entity 85437 Exercise / conversionCommon Stock 2,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-049974 · doc4.xml · nonDerivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,666

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

F1 · shares: Represents shares of common stock received upon vesting of a restricted stock unit award.

F1 · price: Represents shares of common stock received upon vesting of a restricted stock unit award.

Read SEC document
August 11, 2023 Filed Aug 11, 2023 16:04 UTC CHINOOK THERAPEUTICS, INC. KDNY · Entity 110632 Disposition to issuerStock Option (Right to Buy) · Derivative 13,300 $26.12 Strike: $13.88 $347,396.00
Disclosure

SEC source: 0001209191-23-045411 · doc4.xml · derivative · entry 5

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,300 shares

Expires 2032-05-25

F4 · derivative.exercise_date: This stock option award, which vested in full upon the earlier of the one year anniversary of the grant date or the date of the Issuer's next annual stockholders' meeting, was canceled upon effectiveness of the Merger, and was converted into the right to receive, with respect to each share of the Issuer's Common Stock underlying such option, (i) a cash payment representing the excess, if any, of the per share merger consideration ($40.00 per share) over the per share exercise price for such option, without interest, and (ii) one CVR, entitling the reporting person to additional cash payments upon the achievement of certain future business milestones pursuant to the Contingent Value Rights Agreement entered into concurrent with the completion of the Merger, in each case subject to applicable withholding taxes.

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August 11, 2023 Filed Aug 11, 2023 16:04 UTC CHINOOK THERAPEUTICS, INC. KDNY · Entity 110632 Disposition to issuerStock Option (Right to Buy) · Derivative 5,948 $23.19 Strike: $16.81 $137,934.12
Disclosure

SEC source: 0001209191-23-045411 · doc4.xml · derivative · entry 4

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,948 shares

Expires 2031-06-03

F4 · derivative.exercise_date: This stock option award, which vested in full upon the earlier of the one year anniversary of the grant date or the date of the Issuer's next annual stockholders' meeting, was canceled upon effectiveness of the Merger, and was converted into the right to receive, with respect to each share of the Issuer's Common Stock underlying such option, (i) a cash payment representing the excess, if any, of the per share merger consideration ($40.00 per share) over the per share exercise price for such option, without interest, and (ii) one CVR, entitling the reporting person to additional cash payments upon the achievement of certain future business milestones pursuant to the Contingent Value Rights Agreement entered into concurrent with the completion of the Merger, in each case subject to applicable withholding taxes.

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August 11, 2023 Filed Aug 11, 2023 16:04 UTC CHINOOK THERAPEUTICS, INC. KDNY · Entity 110632 Disposition to issuerStock Option (Right to Buy) · Derivative 23,522 $25.23 Strike: $14.77 $593,460.06
Disclosure

SEC source: 0001209191-23-045411 · doc4.xml · derivative · entry 3

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,522 shares

Expires 2030-10-05

F3 · derivative.exercise_date: This stock option award, which provided for ratable vesting in 36 monthly installments beginning on November 6, 2020, became fully vested and was canceled upon effectiveness of the Merger, and was converted into the right to receive, with respect to each share of the Issuer's Common Stock underlying such option, (i) a cash payment representing the excess, if any, of the per share merger consideration ($40.00 per share) over the per share exercise price for such option, without interest, and (ii) one CVR, entitling the reporting person to additional cash payments upon the achievement of certain future business milestones pursuant to the Contingent Value Rights Agreement entered into concurrent with the completion of the Merger, in each case subject to applicable withholding taxes.

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August 11, 2023 Filed Aug 11, 2023 16:04 UTC CHINOOK THERAPEUTICS, INC. KDNY · Entity 110632 Disposition to issuerCommon Stock 5,161,888 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-045411 · doc4.xml · nonDerivative · entry 2

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Samsara BioCapital, L.P.

Disclosed balance after: 0

F1 · price: The reported securities were disposed of pursuant to the Merger Agreement (defined in the Remarks below). Upon effectiveness of the Merger (defined in the Remarks below), in exchange for each share of the Issuer's Common Stock, the reporting person received: (i) $40.00 in cash, without interest and less applicable withholding taxes; and (ii) one contractual contingent value right (each, a "CVR"), entitling the reporting person to additional cash payments upon the achievement of certain future business milestones pursuant to the Contingent Value Rights Agreement (the "Contingent Value Rights Agreement") entered into concurrent with completion of the Merger.

F2 · ownership.nature: Shares held by Samsara BioCapital, L.P. ("Samsara BioCapital"). The reporting person is a managing member of Samsara BioCapital GP, LLC, the general partner of Samsara BioCapital. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest therein.

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August 11, 2023 Filed Aug 11, 2023 16:04 UTC CHINOOK THERAPEUTICS, INC. KDNY · Entity 110632 Disposition to issuerCommon Stock 3,300 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-045411 · doc4.xml · nonDerivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: The reported securities were disposed of pursuant to the Merger Agreement (defined in the Remarks below). Upon effectiveness of the Merger (defined in the Remarks below), in exchange for each share of the Issuer's Common Stock, the reporting person received: (i) $40.00 in cash, without interest and less applicable withholding taxes; and (ii) one contractual contingent value right (each, a "CVR"), entitling the reporting person to additional cash payments upon the achievement of certain future business milestones pursuant to the Contingent Value Rights Agreement (the "Contingent Value Rights Agreement") entered into concurrent with completion of the Merger.

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June 21, 2023 Filed Jun 22, 2023 22:48 UTC Scholar Rock Holding Corp SRRK · Entity 3721 GrantStock Option (Right to Buy) · Derivative 36,000 $0.00 Strike: $9.11 $0.00
Disclosure

SEC source: 0001415889-23-010196 · form4-06222023_100654.xml · derivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Common Stock · 36,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: This option shall vest and become fully exercisable on the earlier of the first anniversary following the date of grant or on the date of the Issuer's next Annual Meeting subject to continued service to the Issuer through such date.

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June 01, 2023 Filed Jun 2, 2023 20:22 UTC Syros Pharmaceuticals, Inc. SYRS · Entity 85437 GrantRestricted Stock Units · Derivative 4,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-033713 · doc4.xml · derivative · entry 2

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 4,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one share of the issuer's common stock.

F3 · derivative.exercise_date: These RSUs will vest in their entirety on the earlier to occur of (i) the first anniversary of the date of grant of the award, or (ii) the date of the Company's next Annual Meeting of Stockholders, subject in each case to the director's continued service as a director through the applicable vesting date.

F3 · derivative.expiration_date: These RSUs will vest in their entirety on the earlier to occur of (i) the first anniversary of the date of grant of the award, or (ii) the date of the Company's next Annual Meeting of Stockholders, subject in each case to the director's continued service as a director through the applicable vesting date.

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June 01, 2023 Filed Jun 2, 2023 20:22 UTC Syros Pharmaceuticals, Inc. SYRS · Entity 85437 GrantStock Option (right to buy) · Derivative 6,000 $0.00 Strike: $3.70 $0.00
Disclosure

SEC source: 0001209191-23-033713 · doc4.xml · derivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2033-05-31

F1 · derivative.exercise_date: The option becomes exercisable as to 50% of the shares underlying the award on the six month anniversary of the date of grant, with the remainder vesting in equal monthly installments of 8.33% of the shares underlying the award until the first anniversary of the date of grant, subject to the reporting person's continued service as a director through each applicable vesting date.

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May 26, 2023 Filed May 31, 2023 19:25 UTC CHINOOK THERAPEUTICS, INC. KDNY · Entity 110632 Exercise / conversionRestricted Stock Units · Derivative 3,300 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-033190 · doc4.xml · derivative · entry 2

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,300 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer's common stock.

F3 · derivative.exercise_date: 100% of the RSUs vested on May 26, 2023, subject to the Reporting Persons continued service to the Issuer on the vesting date.

F3 · derivative.expiration_date: 100% of the RSUs vested on May 26, 2023, subject to the Reporting Persons continued service to the Issuer on the vesting date.

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May 26, 2023 Filed May 31, 2023 19:25 UTC CHINOOK THERAPEUTICS, INC. KDNY · Entity 110632 Exercise / conversionCommon Stock 3,300 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-033190 · doc4.xml · nonDerivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,300

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

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May 24, 2023 Filed May 25, 2023 20:37 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 GrantOption to Purchase Common Stock · Derivative 12,547 $0.00 Strike: $9.17 $0.00
Disclosure

SEC source: 0001104659-23-064838 · tm2317083-1_4seq1.xml · derivative · entry 3

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,547

Underlying: Common Stock · 12,547 shares

Expires 2033-05-24

F3 · derivative.exercise_date: All of the options subject to the award shall vest and become exercisable on the earlier of (i) the one-year anniversary of the date of grant and (ii) the day immediately preceding the date of the Issuer's 2024 Annual Meeting of Stockholders.

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May 24, 2023 Filed May 25, 2023 20:37 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 GrantCommon Stock 8,111 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-064838 · tm2317083-1_4seq1.xml · nonDerivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,998

F1 · shares: Represents restricted stock units granted to the Reporting Person. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. All of the shares subject to the award shall vest on the earlier of (i) the one-year anniversary of the date of grant and (ii) the day immediately preceding the date of the Issuer's 2024 Annual Meeting of Stockholders.

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February 14, 2023 Filed Feb 16, 2023 21:54 UTC Mineralys Therapeutics, Inc. MLYS · Entity 4432 ConversionSeries B Preferred Stock · Derivative 1,446,357 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-003923 · wf-form4_167658444611991.xml · derivative · entry 4

AKKARAJU SRINIVAS · CIK 0001253170 · Director · 10% owner

Samsara BioCapital, L.P. · CIK 0001699737 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,446,357 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 preferred stock of the Issuer automatically converted into shares of common stock on a 10.798-for-one basis (which reflects the reverse stock split effected by the Issuer on February 1, 2023) upon closing of the Issuer's initial public offering.

F1 · derivative.exercise_date: Each share of preferred stock of the Issuer automatically converted into shares of common stock on a 10.798-for-one basis (which reflects the reverse stock split effected by the Issuer on February 1, 2023) upon closing of the Issuer's initial public offering.

F1 · derivative.expiration_date: Each share of preferred stock of the Issuer automatically converted into shares of common stock on a 10.798-for-one basis (which reflects the reverse stock split effected by the Issuer on February 1, 2023) upon closing of the Issuer's initial public offering.

F2 · ownership.nature: Represents securities held directly by Samsara BioCapital, L.P. Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara BioCapital, L.P. ("Samsara LP") and may be deemed to beneficially own the shares held by Samsara LP. Dr. Akkaraju has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of Samsara LLC and Dr. Akkaraju disclaims beneficial ownership in these shares except to the extent of his or its respective pecuniary interest therein.

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February 14, 2023 Filed Feb 16, 2023 21:54 UTC Mineralys Therapeutics, Inc. MLYS · Entity 4432 ConversionSeries A Preferred Stock · Derivative 2,135,504 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-003923 · wf-form4_167658444611991.xml · derivative · entry 3

AKKARAJU SRINIVAS · CIK 0001253170 · Director · 10% owner

Samsara BioCapital, L.P. · CIK 0001699737 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 2,135,504 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 preferred stock of the Issuer automatically converted into shares of common stock on a 10.798-for-one basis (which reflects the reverse stock split effected by the Issuer on February 1, 2023) upon closing of the Issuer's initial public offering.

F1 · derivative.exercise_date: Each share of preferred stock of the Issuer automatically converted into shares of common stock on a 10.798-for-one basis (which reflects the reverse stock split effected by the Issuer on February 1, 2023) upon closing of the Issuer's initial public offering.

F1 · derivative.expiration_date: Each share of preferred stock of the Issuer automatically converted into shares of common stock on a 10.798-for-one basis (which reflects the reverse stock split effected by the Issuer on February 1, 2023) upon closing of the Issuer's initial public offering.

F2 · ownership.nature: Represents securities held directly by Samsara BioCapital, L.P. Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara BioCapital, L.P. ("Samsara LP") and may be deemed to beneficially own the shares held by Samsara LP. Dr. Akkaraju has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of Samsara LLC and Dr. Akkaraju disclaims beneficial ownership in these shares except to the extent of his or its respective pecuniary interest therein.

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February 14, 2023 Filed Feb 16, 2023 21:54 UTC Mineralys Therapeutics, Inc. MLYS · Entity 4432 PurchaseCommon Stock 937,500 $16.00 $15,000,000.00
Disclosure

SEC source: 0001628280-23-003923 · wf-form4_167658444611991.xml · nonDerivative · entry 2

AKKARAJU SRINIVAS · CIK 0001253170 · Director · 10% owner

Samsara BioCapital, L.P. · CIK 0001699737 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,519,361

F2 · ownership.nature: Represents securities held directly by Samsara BioCapital, L.P. Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara BioCapital, L.P. ("Samsara LP") and may be deemed to beneficially own the shares held by Samsara LP. Dr. Akkaraju has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of Samsara LLC and Dr. Akkaraju disclaims beneficial ownership in these shares except to the extent of his or its respective pecuniary interest therein.

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February 14, 2023 Filed Feb 16, 2023 21:54 UTC Mineralys Therapeutics, Inc. MLYS · Entity 4432 ConversionCommon Stock 3,581,861 Not disclosed Not disclosed
Disclosure

SEC source: 0001628280-23-003923 · wf-form4_167658444611991.xml · nonDerivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director · 10% owner

Samsara BioCapital, L.P. · CIK 0001699737 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,581,861

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 preferred stock of the Issuer automatically converted into shares of common stock on a 10.798-for-one basis (which reflects the reverse stock split effected by the Issuer on February 1, 2023) upon closing of the Issuer's initial public offering.

F2 · ownership.nature: Represents securities held directly by Samsara BioCapital, L.P. Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara BioCapital, L.P. ("Samsara LP") and may be deemed to beneficially own the shares held by Samsara LP. Dr. Akkaraju has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of Samsara LLC and Dr. Akkaraju disclaims beneficial ownership in these shares except to the extent of his or its respective pecuniary interest therein.

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February 09, 2023 Filed Feb 14, 2023 02:02 UTC Mineralys Therapeutics, Inc. MLYS · Entity 4432 GrantStock Option · Derivative 44,000 $0.00 Strike: $16.00 $0.00
Disclosure

SEC source: 0001628280-23-003427 · wf-form4_167634012632329.xml · derivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director · 10% owner

Samsara BioCapital, L.P. · CIK 0001699737 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,000

Underlying: Common Stock · 44,000 shares

Expires 2033-02-09

F1 · derivative.exercise_date: The stock option vests in 36 monthly installments beginning on March 9, 2023.

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September 23, 2022 Filed Sep 23, 2022 22:39 UTC Jiya Acquisition Corp. JYAC · Entity 123583 OtherClass B Common Stock · Derivative 29,667 Not disclosed Not disclosed
Disclosure

SEC source: 0000950103-22-016364 · dp181019_4-akkaraju.xml · derivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director · 10% owner

Jiya Holding Co LLC · CIK 0001832753 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,437,114

Underlying: Class A Common Stock · 29,667 shares

Expires not disclosed

F1 · security: The shares of Class B Common Stock of the Issuer ("Class B Shares") will automatically convert into shares of Class A Common Stock of the Issuer ("Class A Shares") on a one-for-one basis (subject to certain adjustments for stock splits, stock dividends, reorganizations, recapitalizations and similar transactions) concurrently with or immediately following the consummation of the Issuer's initial business combination, as described in the section entitled "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-249808) filed with the Securities and Exchange Commission on November 16, 2020. The Class B Shares have no expiration date.

F1 · derivative.exercise_price: The shares of Class B Common Stock of the Issuer ("Class B Shares") will automatically convert into shares of Class A Common Stock of the Issuer ("Class A Shares") on a one-for-one basis (subject to certain adjustments for stock splits, stock dividends, reorganizations, recapitalizations and similar transactions) concurrently with or immediately following the consummation of the Issuer's initial business combination, as described in the section entitled "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-249808) filed with the Securities and Exchange Commission on November 16, 2020. The Class B Shares have no expiration date.

F2 · kind: Reflects the forfeiture of Class B Shares held by an employee of the Issuer upon such employee's resignation from the Issuer. As a result, these Class B Shares were automatically returned to Jiya Holding Company LLC ("Jiya Holdco") for no consideration ($0).

F2 · shares: Reflects the forfeiture of Class B Shares held by an employee of the Issuer upon such employee's resignation from the Issuer. As a result, these Class B Shares were automatically returned to Jiya Holding Company LLC ("Jiya Holdco") for no consideration ($0).

F1 · price: The shares of Class B Common Stock of the Issuer ("Class B Shares") will automatically convert into shares of Class A Common Stock of the Issuer ("Class A Shares") on a one-for-one basis (subject to certain adjustments for stock splits, stock dividends, reorganizations, recapitalizations and similar transactions) concurrently with or immediately following the consummation of the Issuer's initial business combination, as described in the section entitled "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-249808) filed with the Securities and Exchange Commission on November 16, 2020. The Class B Shares have no expiration date.

F2 · price: Reflects the forfeiture of Class B Shares held by an employee of the Issuer upon such employee's resignation from the Issuer. As a result, these Class B Shares were automatically returned to Jiya Holding Company LLC ("Jiya Holdco") for no consideration ($0).

F1 · derivative.exercise_date: The shares of Class B Common Stock of the Issuer ("Class B Shares") will automatically convert into shares of Class A Common Stock of the Issuer ("Class A Shares") on a one-for-one basis (subject to certain adjustments for stock splits, stock dividends, reorganizations, recapitalizations and similar transactions) concurrently with or immediately following the consummation of the Issuer's initial business combination, as described in the section entitled "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-249808) filed with the Securities and Exchange Commission on November 16, 2020. The Class B Shares have no expiration date.

F1 · derivative.expiration_date: The shares of Class B Common Stock of the Issuer ("Class B Shares") will automatically convert into shares of Class A Common Stock of the Issuer ("Class A Shares") on a one-for-one basis (subject to certain adjustments for stock splits, stock dividends, reorganizations, recapitalizations and similar transactions) concurrently with or immediately following the consummation of the Issuer's initial business combination, as described in the section entitled "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-249808) filed with the Securities and Exchange Commission on November 16, 2020. The Class B Shares have no expiration date.

F1 · balance_after: The shares of Class B Common Stock of the Issuer ("Class B Shares") will automatically convert into shares of Class A Common Stock of the Issuer ("Class A Shares") on a one-for-one basis (subject to certain adjustments for stock splits, stock dividends, reorganizations, recapitalizations and similar transactions) concurrently with or immediately following the consummation of the Issuer's initial business combination, as described in the section entitled "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-249808) filed with the Securities and Exchange Commission on November 16, 2020. The Class B Shares have no expiration date.

F3 · balance_after: Reflects the Class B Shares held by Jiya Holdco. This amount does not reflect the 30,000 Class B shares directly held by Dr. Srinivas Akkaraju M.D., Ph.D.

F3 · ownership.nature: Reflects the Class B Shares held by Jiya Holdco. This amount does not reflect the 30,000 Class B shares directly held by Dr. Srinivas Akkaraju M.D., Ph.D.

F4 · ownership.nature: Jiya HoldCo is wholly owned by Samsara BioCapital, L.P. ("Samsara LP"). Dr. Akkaraju has voting and dispositive control over the reported securities held by Jiya Holdco via Dr. Akkaraju's control of Samsara LP's general partner, Samsara BioCapital GP, LLC. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein.

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September 16, 2022 Filed Sep 19, 2022 21:07 UTC Syros Pharmaceuticals, Inc. SYRS · Entity 85437 GrantRestricted Stock Units · Derivative 8,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-050547 · doc4.xml · derivative · entry 2

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one share of the issuer's common stock.

F3 · derivative.exercise_date: These RSUs will vest in three equal annual installments commencing on September 16, 2023. Amounts reported in this Form 4 reflect the 1-for-10 reverse stock split effected by the issuer on September 16, 2022.

F3 · derivative.expiration_date: These RSUs will vest in three equal annual installments commencing on September 16, 2023. Amounts reported in this Form 4 reflect the 1-for-10 reverse stock split effected by the issuer on September 16, 2022.

Read SEC document
September 16, 2022 Filed Sep 19, 2022 21:07 UTC Syros Pharmaceuticals, Inc. SYRS · Entity 85437 GrantStock Option (right to buy) · Derivative 12,000 $0.00 Strike: $7.35 $0.00
Disclosure

SEC source: 0001209191-22-050547 · doc4.xml · derivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2032-09-15

F1 · derivative.exercise_date: The option becomes exercisable as to 16.66% of the shares underlying the award on the six month anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the reporting person's continued service as a director through each applicable vesting date. Amounts reported in this Form 4 reflect the 1-for-10 reverse stock split effected by the issuer on September 16, 2022.

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September 16, 2022 Filed Sep 20, 2022 20:15 UTC Scholar Rock Holding Corp SRRK · Entity 3721 GrantStock Option (Right to Buy) · Derivative 56,000 $0.00 Strike: $8.91 $0.00
Disclosure

SEC source: 0001104659-22-101568 · tm2226156-2_4seq1.xml · derivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,000

Underlying: Common Stock · 56,000 shares

Expires 2032-09-16

F1 · derivative.exercise_date: This option vests monthly over three (3) years following the date of appointment, with the first monthly amount having vested on August 26, 2022; provided that Mr. Akkaraju continues to serve on the Board of Directors of Issuer on the applicable monthly vesting date.

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September 16, 2022 Filed Apr 20, 2023 20:39 UTC Amendment Syros Pharmaceuticals, Inc. SYRS · Entity 85437 GrantWarrants (right to buy) · Derivative 691,489 Not disclosed Strike: $10.34 Not disclosed
Disclosure

SEC source: 0001209191-23-025000 · doc4a.xml · derivative · entry 4

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 691,489

Underlying: Common Stock · 691,489 shares

Expires 2027-09-16

F1 · price: The purchase price for the reported securities was $9.40 per share of Common Stock and accompanying warrant to purchase one share of Common Stock.

F3 · ownership.nature: Securities held by Samsara BioCapital, L.P. ("Samsara BioCapital"). The Reporting Person is a managing member of Samsara BioCapital GP, LLC, the general partner of Samsara BioCapital. The Reporting Person disclaims beneficial ownership of these securities except to the extent of the Reporting Person's pecuniary interest therein.

Read SEC document
September 16, 2022 Filed Apr 20, 2023 20:39 UTC Amendment Syros Pharmaceuticals, Inc. SYRS · Entity 85437 GrantRestricted Stock Units · Derivative 8,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025000 · doc4a.xml · derivative · entry 3

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires not disclosed

F5 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one share of the issuer's common stock.

F6 · derivative.exercise_date: These RSUs will vest in three equal annual installments commencing on September 16, 2023.

F6 · derivative.expiration_date: These RSUs will vest in three equal annual installments commencing on September 16, 2023.

Read SEC document
September 16, 2022 Filed Apr 20, 2023 20:39 UTC Amendment Syros Pharmaceuticals, Inc. SYRS · Entity 85437 GrantStock Option (right to buy) · Derivative 12,000 $0.00 Strike: $7.35 $0.00
Disclosure

SEC source: 0001209191-23-025000 · doc4a.xml · derivative · entry 2

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2032-09-15

F4 · derivative.exercise_date: The option becomes exercisable as to 16.66% of the shares underlying the award on the six month anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the reporting person's continued service as a director through each applicable vesting date.

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September 16, 2022 Filed Apr 20, 2023 20:39 UTC Amendment Syros Pharmaceuticals, Inc. SYRS · Entity 85437 GrantCommon Stock 691,489 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-025000 · doc4a.xml · nonDerivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 881,450

F1 · price: The purchase price for the reported securities was $9.40 per share of Common Stock and accompanying warrant to purchase one share of Common Stock.

F2 · balance_after: Amounts reported in this Form 4 reflect the 1-for-10 reverse stock split effected by the issuer on September 16, 2022.

F3 · ownership.nature: Securities held by Samsara BioCapital, L.P. ("Samsara BioCapital"). The Reporting Person is a managing member of Samsara BioCapital GP, LLC, the general partner of Samsara BioCapital. The Reporting Person disclaims beneficial ownership of these securities except to the extent of the Reporting Person's pecuniary interest therein.

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June 01, 2022 Filed Jun 2, 2022 23:10 UTC Syros Pharmaceuticals, Inc. SYRS · Entity 85437 GrantStock Option (right to buy) · Derivative 17,500 $0.00 Strike: $0.78 $0.00
Disclosure

SEC source: 0001209191-22-033715 · doc4.xml · derivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 17,500 shares

Expires 2032-05-31

F1 · derivative.exercise_date: The option becomes exercisable as to 50% of the shares underlying the award on the six month anniversary of the date of grant, with the remainder vesting in equal monthly installments until the first anniversary of the date of grant, subject to the reporting person's continued service as a director through each applicable vesting date.

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May 27, 2022 Filed Jun 1, 2022 16:13 UTC CHINOOK THERAPEUTICS, INC. KDNY · Entity 110632 PurchaseCommon Stock 570,000 $14.00 $7,980,000.00
Disclosure

SEC source: 0001209191-22-033141 · doc4.xml · nonDerivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Samsara BioCapital, L.P.

Disclosed balance after: 5,161,888

F1 · shares: Represents a purchase from the underwriters in a public offering of the issuer.

F2 · ownership.nature: Shares held by Samsara BioCapital, L.P. ("Samsara BioCapital"). The reporting person is a managing member of Samsara BioCapital GP, LLC, the general partner of Samsara BioCapital. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest therein.

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May 26, 2022 Filed May 31, 2022 18:04 UTC CHINOOK THERAPEUTICS, INC. KDNY · Entity 110632 GrantRestricted Stock Unit · Derivative 3,300 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-032938 · doc4.xml · derivative · entry 2

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,300

Underlying: Common Stock · 3,300 shares

Expires 2023-05-26

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one (1) share of the Issuer's Common Stock upon settlement.

F3 · derivative.exercise_date: 100% of the RSUs will vest on May 26, 2023, subject to the Reporting Person's continued service to the Issuer on the vesting date.

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May 26, 2022 Filed May 31, 2022 18:04 UTC CHINOOK THERAPEUTICS, INC. KDNY · Entity 110632 GrantStock Option (Right to Buy) · Derivative 13,300 $0.00 Strike: $13.88 $0.00
Disclosure

SEC source: 0001209191-22-032938 · doc4.xml · derivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,300

Underlying: Common Stock · 13,300 shares

Expires 2032-05-25

F1 · derivative.exercise_date: 100% of the stock option will vest on May 26, 2023, subject to the Reporting Person's continued service to the Issuer on the vesting date.

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May 25, 2022 Filed May 27, 2022 16:18 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 GrantOption to Purchase Common Stock · Derivative 12,790 $0.00 Strike: $16.82 $0.00
Disclosure

SEC source: 0001104659-22-065916 · tm2217184-6_4seq1.xml · derivative · entry 3

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,790

Underlying: Common Stock · 12,790 shares

Expires 2032-05-25

F3 · derivative.exercise_date: All of the options subject to the award shall vest and become exercisable on the earlier of (i) the one-year anniversary of the date of grant and (ii) the day immediately preceding the date of the Issuer's 2023 Annual Meeting of Stockholders.

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May 25, 2022 Filed May 27, 2022 16:18 UTC INTERCEPT PHARMACEUTICALS, INC. ICPT · Entity 108343 GrantCommon Stock 7,737 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-065916 · tm2217184-6_4seq1.xml · nonDerivative · entry 1

AKKARAJU SRINIVAS · CIK 0001253170 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,887

F1 · shares: Represents restricted stock units granted to the Reporting Person. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. All of the shares subject to the award shall vest on the earlier of (i) the one-year anniversary of the date of grant and (ii) the day immediately preceding the date of the Issuer's 2023 Annual Meeting of Stockholders.

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April 12, 2022 Filed Apr 13, 2022 23:40 UTC LENZ Therapeutics, Inc. GRPH · Entity 6475 PurchaseCommon Stock 350,000 $4.08 $1,428,000.00
Disclosure

SEC source: 0001209191-22-024364 · doc4.xml · nonDerivative · entry 2

Samsara BioCapital, L.P. · CIK 0001699737 · 10% owner

AKKARAJU SRINIVAS · CIK 0001253170 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Samsara BioCapital, L.P.

Disclosed balance after: 8,459,314

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.05 to $4.10 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 purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Shares are held by Samsara BioCapital, L.P. ("Samsara LP"). Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara LP and may be deemed to beneficially own the shares held by Samsara LP. Dr. Srinivas Akkaraju, MD, Ph.D. has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of Samsara LLC and Dr. Akkaraju disclaims beneficial ownership in these shares except to the extent of his or its respective pecuniary interest therein.

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April 11, 2022 Filed Apr 13, 2022 23:40 UTC LENZ Therapeutics, Inc. GRPH · Entity 6475 PurchaseCommon Stock 74,464 $4.07 $303,068.48
Disclosure

SEC source: 0001209191-22-024364 · doc4.xml · nonDerivative · entry 1

Samsara BioCapital, L.P. · CIK 0001699737 · 10% owner

AKKARAJU SRINIVAS · CIK 0001253170 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Samsara BioCapital, L.P.

Disclosed balance after: 8,109,314

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.97 to $4.10 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 purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Shares are held by Samsara BioCapital, L.P. ("Samsara LP"). Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara LP and may be deemed to beneficially own the shares held by Samsara LP. Dr. Srinivas Akkaraju, MD, Ph.D. has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of Samsara LLC and Dr. Akkaraju disclaims beneficial ownership in these shares except to the extent of his or its respective pecuniary interest therein.

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January 24, 2022 Filed Jan 25, 2022 19:30 UTC LENZ Therapeutics, Inc. GRPH · Entity 6475 PurchaseCommon Stock 23,000 $8.70 $200,100.00
Disclosure

SEC source: 0001209191-22-004735 · doc4.xml · nonDerivative · entry 2

Samsara BioCapital, L.P. · CIK 0001699737 · 10% owner

AKKARAJU SRINIVAS · CIK 0001253170 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fund

Disclosed balance after: 8,034,850

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.67 to $8.70 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Shares are held by Samsara BioCapital, L.P. ("Samsara LP"). Samsara BioCapital GP, LLC ("Samsara LLC") is the general partner of Samsara LP and may be deemed to beneficially own the shares held by Samsara LP. Dr. Srinivas Akkaraju, MD, Ph.D. has voting and investment power over the shares held by Samsara LP and, accordingly, may be deemed to beneficially own the shares held by Samsara LP. Each of Samsara LLC and Dr. Akkaraju disclaims beneficial ownership in these shares except to the extent of his or its respective pecuniary interest therein.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.