Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARDELYX, INC.ARDX · Entity 4972 | Director | June 16, 2026 | June 18, 2026 |
| AVEO PHARMACEUTICALS, INC.AVEO · Entity 120602 | 10% owner | April 08, 2019 | April 08, 2019 |
| Achaogen, Inc.AKAO · Entity 158957 | 10% owner | December 19, 2016 | December 19, 2016 |
| Adaptimmune Therapeutics PLCADAP · Entity 9824 | Director | July 01, 2024 | July 01, 2024 |
| Black Diamond Therapeutics, Inc.BDTX · Entity 6669 | 10% owner | January 29, 2020 | January 30, 2020 |
| Casper Sleep Inc.CSPR · Entity 131068 | 10% owner | February 06, 2020 | February 06, 2020 |
| Cloudflare, Inc.NET · Entity 2910 | 10% owner | September 17, 2019 | September 18, 2019 |
| Enliven Therapeutics, Inc.IMRA · Entity 4024 | Director | June 02, 2022 | June 04, 2022 |
| GENOCEA BIOSCIENCES, INC.GNCA · Entity 12635 | 10% owner | June 24, 2019 | June 25, 2019 |
| Galera Therapeutics, Inc.GRTX · Entity 15899 | 10% owner | November 12, 2019 | November 12, 2019 |
| Marker Therapeutics, Inc.MRKR · Entity 7609 | 10% owner | October 17, 2018 | October 18, 2018 |
| Mirum Pharmaceuticals, Inc.MIRM · Entity 2416 | 10% owner | July 22, 2019 | July 24, 2019 |
| NOVAVAX INCNVAX · Entity 4632 | Director | June 18, 2026 | June 23, 2026 |
| Oyster Point Pharma, Inc.OYST · Entity 15903 | 10% owner | November 04, 2019 | November 04, 2019 |
| PhaseBio Pharmaceuticals IncPHAS · Entity 113305 | 10% owner | October 22, 2018 | October 24, 2018 |
| RHYTHM PHARMACEUTICALS, INC.RYTM · Entity 3693 | 10% owner | October 10, 2017 | October 10, 2017 |
| Ra Pharmaceuticals, Inc.RARX · Entity 150034 | 10% owner | December 14, 2018 | December 14, 2018 |
| Regulus Therapeutics Inc.RGLS · Entity 78034 | 10% owner | December 24, 2019 | December 26, 2019 |
| Roka BioScience, Inc.ROKA · Entity 172682 | 10% owner | September 21, 2016 | September 30, 2016 |
| SYNLOGIC, INC.SYBX · Entity 7801 | 10% owner | January 26, 2018 | January 26, 2018 |
| Sprout Social, Inc.SPT · Entity 2148 | 10% owner | December 17, 2019 | December 18, 2019 |
| Strongbridge Biopharma plcSBBP · Entity 131608 | 10% owner | January 01, 2018 | January 09, 2018 |
| Surface Oncology, Inc.SURF · Entity 109857 | 10% owner | April 23, 2018 | April 23, 2018 |
| Tempest Therapeutics, Inc.MLND · Entity 7734 | 10% owner | December 07, 2018 | December 12, 2018 |
| Tracon Pharmaceuticals, Inc.TCON · Entity 91134 | 10% owner | March 27, 2018 | March 27, 2018 |
| Trevi Therapeutics, Inc.TRVI · Entity 4387 | 10% owner | May 09, 2019 | May 13, 2019 |
| X4 Pharmaceuticals, IncASNS · Entity 5638 | 10% owner | November 20, 2017 | November 20, 2017 |
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.
ARDELYX, INC.
Report date June 16, 2026 · Filed June 18, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,349,655 |
Last balance in matching sequence
After 2026-06-16 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2026-06-16 · Grant · Acquired 20,282 · Balance 3,323,200 F1: The shares were issued pursuant to the Issuer's Non-Employee Director Compensation Program. The Reporting Person elected to receive stock in lieu of cash as permitted under the program. F2: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. Row 2 · 2026-06-16 · Grant · Acquired 26,455 · Balance 3,349,655 F3: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock for each one (1) RSU upon the vesting thereof. The RSUs were issued pursuant to the Issuer's Non-Employee Director Compensation Program. F2: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.67 · Expires 2036-06-16 | Direct | 39,715 |
Reported balance
After 2026-06-16 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-06-16 · Grant · Acquired 39,715 · Balance 39,715 F4: The option was issued pursuant to the Issuer's Non-Employee Director Compensation Program. F5: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were issued pursuant to the Issuer's Non-Employee Director Compensation Program. The Reporting Person elected to receive stock in lieu of cash as permitted under the program.
F2: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein.
F3: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock for each one (1) RSU upon the vesting thereof. The RSUs were issued pursuant to the Issuer's Non-Employee Director Compensation Program.
F4: The option was issued pursuant to the Issuer's Non-Employee Director Compensation Program.
F5: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date.
AVEO PHARMACEUTICALS, INC.
Report date April 08, 2019 · Filed April 08, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 25,243,865 |
Reported balance
After 2019-04-08 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-04-08 · Purchase · Acquired 4,347,827 · Balance 25,243,865 F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. |
| Warrant to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $1.25 · Expires 2021-04-08 | IndirectSee Note 1 | 4,347,827 |
Reported balance
After 2019-04-08 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-04-08 · Purchase · Acquired 4,347,827 · Balance 4,347,827 F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.
Achaogen, Inc.
Report date December 19, 2016 · Filed December 19, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 5,215,128 |
Reported balance
After 2016-12-19 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2016-12-19 · Purchase · Acquired 500,000 · Balance 5,215,128 F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.
Adaptimmune Therapeutics PLC
Report date July 01, 2024 · Filed July 01, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option to purchase Ordinary SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.16 · Expires 2034-07-01 | Direct | 1,583,214 |
Reported balance
After 2024-07-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-07-01 · Grant · Acquired 1,583,214 · Balance 1,583,214 F1: The exercise price was converted from GBP0.13 based on an exchange rate of $U.S. 1.263714 to GBP1.00. The actual exercise price will be the pounds sterling amount. |
Filing footnotes · ownership attribution and instrument terms
F1: The exercise price was converted from GBP0.13 based on an exchange rate of $U.S. 1.263714 to GBP1.00. The actual exercise price will be the pounds sterling amount.
Black Diamond Therapeutics, Inc.
Report date January 29, 2020 · Filed January 30, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-01-29 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: Each share of Series B Preferred Stock is convertible into shares of the Issuer's Common Stock on a one-for-3.01581 basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Preferred Stock will convert into the number of shares of Common Stock of the Issuer shown in column 3. The Series B Preferred Stock has no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-01-29 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F3: Each share of Series C Preferred Stock is convertible into shares of the Issuer's Common Stock on a one-for-3.01581 basis. Upon the closing of the Issuer's initial public offering, all shares of Series C Preferred Stock will convert into the number of shares of Common Stock of the Issuer shown in column 3. The Series C Preferred Stock has no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series B Preferred Stock is convertible into shares of the Issuer's Common Stock on a one-for-3.01581 basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Preferred Stock will convert into the number of shares of Common Stock of the Issuer shown in column 3. The Series B Preferred Stock has no expiration date.
F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
F3: Each share of Series C Preferred Stock is convertible into shares of the Issuer's Common Stock on a one-for-3.01581 basis. Upon the closing of the Issuer's initial public offering, all shares of Series C Preferred Stock will convert into the number of shares of Common Stock of the Issuer shown in column 3. The Series C Preferred Stock has no expiration date.
Casper Sleep Inc.
Report date February 06, 2020 · Filed February 06, 2020
Jointly reported with New Enterprise Associates 14, L.P., Sonsini Peter W., NEA 14 GP, LTD, NEA Partners 14, L.P., BASKETT FOREST, KERINS PATRICK J, SANDELL SCOTT D
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,972,412 |
Reported balance
Holding disclosure · report date 2020-02-06 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,972,412 F1: The securities are directly held by NEA 14 and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are Forest Baskett, Anthony A. Florence, Jr., Patrick J. Kerins, David M. Mott, Scott D. Sandell and Peter Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by NEA 14 and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are Forest Baskett, Anthony A. Florence, Jr., Patrick J. Kerins, David M. Mott, Scott D. Sandell and Peter Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest.
Cloudflare, Inc.
Report date September 17, 2019 · Filed September 18, 2019
Jointly reported with NEW ENTERPRISE ASSOCIATES 13 LP, NEA Partners 13, Limited Partnership, NEA 13 GP, Ltd, BARRIS PETER J, BASKETT FOREST, KERINS PATRICK J
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 4,059,376 |
Reported balance
After 2019-09-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-09-17 · Conversion · Acquired 4,059,376 · Balance 4,059,376 F1: Each share of Series D Convertible Preferred Stock automatically converted into Class A Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-09-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-09-17 · Conversion · Disposed 35,280,610 · Balance 0 F3: Each share of Series B Convertible Preferred Stock automatically converted into Class B Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date. F4: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-to-one basis at the reporting person's election and has no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-09-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-09-17 · Conversion · Disposed 7,183,310 · Balance 0 F5: Each share of Series C Convertible Preferred Stock automatically converted into Class B Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date. F4: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-to-one basis at the reporting person's election and has no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-09-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-09-17 · Conversion · Disposed 4,059,376 · Balance 0 F1: Each share of Series D Convertible Preferred Stock automatically converted into Class A Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 48,588,474 |
Reported balance
After 2019-09-17 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-09-17 · Conversion · Acquired 42,463,920 · Balance 48,588,474 F4: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-to-one basis at the reporting person's election and has no expiration date. F1: Each share of Series D Convertible Preferred Stock automatically converted into Class A Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date. F3: Each share of Series B Convertible Preferred Stock automatically converted into Class B Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date. F5: Each share of Series C Convertible Preferred Stock automatically converted into Class B Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series D Convertible Preferred Stock automatically converted into Class A Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.
F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest.
F3: Each share of Series B Convertible Preferred Stock automatically converted into Class B Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.
F4: Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-to-one basis at the reporting person's election and has no expiration date.
F5: Each share of Series C Convertible Preferred Stock automatically converted into Class B Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.
Enliven Therapeutics, Inc.
Report date June 02, 2022 · Filed June 04, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.07 · Expires 2032-06-01 | Direct | 8,500 |
Reported balance
After 2022-06-02 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-06-02 · Grant · Acquired 8,500 · Balance 8,500 F1: The option will vest on the first anniversary of the date of grant or, if earlier, the date of Imara's next annual meeting of stockholders following the date of grant. |
| Common StockSEC Table I · non-derivative | Direct | 229,224 |
Reported balance
Holding disclosure · report date 2022-06-02 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 229,224 |
Filing footnotes · ownership attribution and instrument terms
F1: The option will vest on the first anniversary of the date of grant or, if earlier, the date of Imara's next annual meeting of stockholders following the date of grant.
GENOCEA BIOSCIENCES, INC.
Report date June 24, 2019 · Filed June 25, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 7,225,676 |
Reported balance
After 2019-06-24 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-06-24 · Purchase · Acquired 2,857,142 · Balance 7,225,676 F1: On May 22, 2019 the issuer effected a 1-for-8 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: On May 22, 2019 the issuer effected a 1-for-8 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.
F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
Galera Therapeutics, Inc.
Report date November 12, 2019 · Filed November 12, 2019
Jointly reported with New Enterprise Associates 14, L.P., Sonsini Peter W., KERINS PATRICK J, NEA Partners 14, L.P., NEA 14 GP, LTD, BARRIS PETER J, BASKETT FOREST, Florence Anthony A. Jr., SANDELL SCOTT D
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,358,047 |
Last balance in matching sequence
After 2019-11-12 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2019-11-12 · Conversion · Acquired 1,774,922 · Balance 1,774,922 F1: These shares of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis, upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 14, L.P., ("NEA 14") and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Patrick J. Kerins, David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest. Row 2 · 2019-11-12 · Conversion · Acquired 1,898,524 · Balance 3,673,446 F1: These shares of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis, upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 14, L.P., ("NEA 14") and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Patrick J. Kerins, David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest. Row 3 · 2019-11-12 · Conversion · Acquired 267,935 · Balance 3,941,381 F1: These shares of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis, upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 14, L.P., ("NEA 14") and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Patrick J. Kerins, David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest. Row 4 · 2019-11-12 · Purchase · Acquired 416,666 · Balance 4,358,047 F2: The securities are directly held by New Enterprise Associates 14, L.P., ("NEA 14") and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Patrick J. Kerins, David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-11-12 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-11-12 · Conversion · Disposed 8,975,000 · Balance 0 F1: These shares of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis, upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 14, L.P., ("NEA 14") and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Patrick J. Kerins, David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-11-12 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-11-12 · Conversion · Disposed 9,600,000 · Balance 0 F1: These shares of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis, upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 14, L.P., ("NEA 14") and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Patrick J. Kerins, David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series C Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-11-12 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-11-12 · Conversion · Disposed 1,354,829 · Balance 0 F1: These shares of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis, upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 14, L.P., ("NEA 14") and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Patrick J. Kerins, David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis, upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.
F2: The securities are directly held by New Enterprise Associates 14, L.P., ("NEA 14") and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Patrick J. Kerins, David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest.
Marker Therapeutics, Inc.
Report date October 17, 2018 · Filed October 18, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 5,000,000 |
Reported balance
Holding disclosure · report date 2018-10-17 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 5,000,000 F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Warrant to Purchase Common Stock (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2023-10-17 | IndirectSee Note 1 | Not disclosed |
Reported balance
Holding disclosure · report date 2018-10-17 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
Mirum Pharmaceuticals, Inc.
Report date July 22, 2019 · Filed July 24, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 4,186,243 |
Last balance in matching sequence
After 2019-07-22 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2019-07-22 · Conversion · Acquired 3,736,243 · Balance 3,736,243 F1: Automatic conversion, in connection with the Issuer's initial public offering, of each share of the Issuer's Series A preferred stock into 0.125 shares of the Issuer's common stock. The shares have no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 2 · 2019-07-22 · Purchase · Acquired 450,000 · Balance 4,186,243 F3: The shares were purchased in the Issuer's initial public offering. F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2019-07-22 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-07-22 · Conversion · Disposed 29,889,945 · Balance 0 F1: Automatic conversion, in connection with the Issuer's initial public offering, of each share of the Issuer's Series A preferred stock into 0.125 shares of the Issuer's common stock. The shares have no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Automatic conversion, in connection with the Issuer's initial public offering, of each share of the Issuer's Series A preferred stock into 0.125 shares of the Issuer's common stock. The shares have no expiration date.
F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
F3: The shares were purchased in the Issuer's initial public offering.
NOVAVAX INC
Report date June 18, 2026 · Filed June 23, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 79,770 |
Reported balance
After 2026-06-20 transaction · row 1
1 source rowRow 1 · 2026-06-20 · Exercise / conversion · Acquired 18,880 · Balance 79,770 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.13 · Expires 2036-06-18 | Direct | 21,270 |
Reported balance
After 2026-06-18 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-06-18 · Grant · Acquired 21,270 · Balance 21,270 F2: One hundred percent (100%) of the shares subject to this option grant under the Amended and Restated 2015 Stock Incentive Plan, as amended, will vest on the first anniversary of the June 18, 2026 grant date subject to continued service on the Company's Board of Directors through the vesting date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 14,180 |
Reported balance
After 2026-06-18 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-06-18 · Grant · Acquired 14,180 · Balance 14,180 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. F3: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, will vest on the first anniversary of the June 18, 2026 grant date subject to continued service on the Company's Board of Directors through the vesting date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-06-20 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-06-20 · Exercise / conversion · Disposed 18,880 · Balance 0 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. F4: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 20, 2025 grant date subject to continued service on the Company's Board of Directors through the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.
F2: One hundred percent (100%) of the shares subject to this option grant under the Amended and Restated 2015 Stock Incentive Plan, as amended, will vest on the first anniversary of the June 18, 2026 grant date subject to continued service on the Company's Board of Directors through the vesting date.
F3: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, will vest on the first anniversary of the June 18, 2026 grant date subject to continued service on the Company's Board of Directors through the vesting date.
F4: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 20, 2025 grant date subject to continued service on the Company's Board of Directors through the vesting date.
Oyster Point Pharma, Inc.
Report date November 04, 2019 · Filed November 04, 2019
Jointly reported with New Enterprise Associates 14, L.P., Sonsini Peter W., BARRIS PETER J, NEA Partners 14, L.P., NEA 14 GP, LTD, BASKETT FOREST, Florence Anthony A. Jr., SANDELL SCOTT D
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001 per shareSEC Table I · non-derivative | Direct | 5,925,287 |
Last balance in matching sequence
After 2019-11-04 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2019-11-04 · Conversion · Acquired 3,606,282 · Balance 3,928,740 F1: These shares of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock, on a one-for-one basis, immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 14, L.P., ("NEA 14") and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest. Row 2 · 2019-11-04 · Conversion · Acquired 1,061,547 · Balance 4,990,287 F1: These shares of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock, on a one-for-one basis, immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 14, L.P., ("NEA 14") and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest. Row 3 · 2019-11-04 · Purchase · Acquired 935,000 · Balance 5,925,287 F2: The securities are directly held by New Enterprise Associates 14, L.P., ("NEA 14") and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-11-04 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-11-04 · Conversion · Disposed 3,606,282 · Balance 0 F1: These shares of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock, on a one-for-one basis, immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 14, L.P., ("NEA 14") and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-11-04 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-11-04 · Conversion · Disposed 1,061,547 · Balance 0 F1: These shares of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock, on a one-for-one basis, immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 14, L.P., ("NEA 14") and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock, on a one-for-one basis, immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.
F2: The securities are directly held by New Enterprise Associates 14, L.P., ("NEA 14") and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest.
PhaseBio Pharmaceuticals Inc
Report date October 22, 2018 · Filed October 24, 2018
Jointly reported with NEW ENTERPRISE ASSOCIATES 13 LP, NEA Partners 13, Limited Partnership, NEA 13 GP, Ltd, BARRETT M JAMES, BARRIS PETER J, BASKETT FOREST, KERINS PATRICK J, SANDELL SCOTT D, Viswanathan Ravi
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 6,641,634 |
Last balance in matching sequence
After 2018-10-22 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2018-10-22 · Conversion · Acquired 4,841,634 · Balance 4,841,634 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott, Scott D. Sandell and Ravi Viswanathan. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. Row 2 · 2018-10-22 · Purchase · Acquired 1,800,000 · Balance 6,641,634 F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott, Scott D. Sandell and Ravi Viswanathan. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Warrants to Purchase Series B Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.12 | IndirectSee Note 2 | 0 |
Reported balance
After 2018-10-22 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-10-22 · Other · Disposed 49,030 · Balance 0 F3: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F4: The warrants were exercisable until, and were scheduled to expire upon, the closing of the Issuer's initial public offering. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott, Scott D. Sandell and Ravi Viswanathan. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 3,280,804 |
Reported balance
After 2018-10-22 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-10-22 · Other · Acquired 49,030 · Balance 3,280,804 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott, Scott D. Sandell and Ravi Viswanathan. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 3,279,627 |
Reported balance
After 2018-10-22 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-10-22 · Sale · Disposed 1,177 · Balance 3,279,627 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott, Scott D. Sandell and Ravi Viswanathan. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2018-10-22 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-10-22 · Conversion · Disposed 3,279,627 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott, Scott D. Sandell and Ravi Viswanathan. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Warrants to Purchase Series C-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.12 | IndirectSee Note 2 | 0 |
Reported balance
After 2018-10-22 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-10-22 · Other · Disposed 181,190 · Balance 0 F3: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F4: The warrants were exercisable until, and were scheduled to expire upon, the closing of the Issuer's initial public offering. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott, Scott D. Sandell and Ravi Viswanathan. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 442,055 |
Reported balance
After 2018-10-22 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-10-22 · Other · Acquired 181,190 · Balance 442,055 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott, Scott D. Sandell and Ravi Viswanathan. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 437,706 |
Reported balance
After 2018-10-22 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2018-10-22 · Sale · Disposed 4,349 · Balance 437,706 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott, Scott D. Sandell and Ravi Viswanathan. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2018-10-22 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2018-10-22 · Conversion · Disposed 437,706 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott, Scott D. Sandell and Ravi Viswanathan. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series D Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2018-10-22 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2018-10-22 · Conversion · Disposed 1,124,301 · Balance 0 F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott, Scott D. Sandell and Ravi Viswanathan. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date.
F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott, Scott D. Sandell and Ravi Viswanathan. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest.
F3: Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering.
F4: The warrants were exercisable until, and were scheduled to expire upon, the closing of the Issuer's initial public offering.
RHYTHM PHARMACEUTICALS, INC.
Report date October 10, 2017 · Filed October 10, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 4,909,956 |
Last balance in matching sequence
After 2017-10-10 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2017-10-10 · Conversion · Acquired 1,402,870 · Balance 1,432,248 F1: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date. F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. Row 2 · 2017-10-10 · Conversion · Acquired 2,927,708 · Balance 4,359,956 F1: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date. F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. Row 3 · 2017-10-10 · Purchase · Acquired 550,000 · Balance 4,909,956 F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. |
| Series A Preferred StocSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2017-10-10 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-10-10 · Conversion · Disposed 1,402,870 · Balance 0 F1: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date. F3: Reflects the number of shares of Series A Preferred and Series A-1 Preferred, as applicable, held by the Reporting Person on an as-converted to common stock basis. F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. |
| Series A-1 Junior Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2017-10-10 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2017-10-10 · Conversion · Disposed 2,927,708 · Balance 0 F1: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date. F3: Reflects the number of shares of Series A Preferred and Series A-1 Preferred, as applicable, held by the Reporting Person on an as-converted to common stock basis. F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date.
F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.
F3: Reflects the number of shares of Series A Preferred and Series A-1 Preferred, as applicable, held by the Reporting Person on an as-converted to common stock basis.
Ra Pharmaceuticals, Inc.
Report date December 14, 2018 · Filed December 14, 2018
Jointly reported with NEW ENTERPRISE ASSOCIATES 13 LP, NEA Partners 13, Limited Partnership, NEA 13 GP, Ltd, BARRIS PETER J, BASKETT FOREST, KERINS PATRICK J, SANDELL SCOTT D
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,135,234 |
Reported balance
After 2018-12-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-12-14 · Purchase · Acquired 645,161 · Balance 6,135,234 F1: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest.
Regulus Therapeutics Inc.
Report date December 24, 2019 · Filed December 26, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock Purchase Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.67 · Expires 2024-12-24 | IndirectSee Note 1 | 9,009,000 |
Reported balance
After 2019-12-24 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-12-24 · Purchase · Acquired 9,009,000 · Balance 9,009,000 F2: Acquired from the Issuer pursuant to a Securities Purchase Agreement dated May 3, 2019 with a closing date of December 24, 2019. F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"). NEA 16 is the sole member of Growth Equity Opportunities Fund V, LLC ("GEO V"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO V in which the Reporting Person has no pecuniary interest. |
| Common Stock Purchase Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.08 · Expires 2024-05-07 | IndirectSee Note 1 | 3,703,704 |
Reported balance
Holding disclosure · report date 2019-12-24 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 3,703,704 F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"). NEA 16 is the sole member of Growth Equity Opportunities Fund V, LLC ("GEO V"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO V in which the Reporting Person has no pecuniary interest. |
| Class A-2 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 1 | 900,900 |
Reported balance
After 2019-12-24 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-12-24 · Purchase · Acquired 900,900 · Balance 900,900 F3: Each share of Class A-2 Convertible Preferred Stock, par value $0.001 per share ("Class A-2 Preferred Stock"), of the Issuer is convertible at any time into a number of shares of common stock, par value $0.001 ("Common Stock"), of the Issuer at a rate of 10 shares of Common Stock for each share of Class A-2 Preferred Stock, for no additional consideration, in each case subject to customary adjustments under the certificate of designations for the Class A-2 Preferred Stock (the "Certificate of Designations"). Unless converted pursuant to its terms, the Class A-2 Preferred Stock does not expire. The Certificate of Designations prohibits conversion to the extent that the holder, together with its affiliates, would beneficially own in excess of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the conversion. F2: Acquired from the Issuer pursuant to a Securities Purchase Agreement dated May 3, 2019 with a closing date of December 24, 2019. F4: Each share of Class A-1 Convertible Preferred Stock, par value $0.001 per share ("Class A-1 Preferred Stock"), of the Issuer is convertible at any time into a number of shares of common stock, par value $0.001 ("Common Stock"), of the Issuer at a rate of 10 shares of Common Stock for each share of Class A-1 Preferred Stock, for no additional consideration, in each case subject to customary adjustments under the certificate of designations for the Class A-1 Preferred Stock (the "Certificate of Designations"). Unless converted pursuant to its terms, the Class A-1 Preferred Stock does not expire. The Certificate of Designations prohibits conversion to the extent that the holder, together with its affiliates, would beneficially own in excess of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the conversion. F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"). NEA 16 is the sole member of Growth Equity Opportunities Fund V, LLC ("GEO V"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO V in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 2,052,454 |
Reported balance
Holding disclosure · report date 2019-12-24 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,052,454 F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"). NEA 16 is the sole member of Growth Equity Opportunities Fund V, LLC ("GEO V"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO V in which the Reporting Person has no pecuniary interest. |
| Class A-1 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 1 | 256,700 |
Reported balance
Holding disclosure · report date 2019-12-24 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 256,700 F4: Each share of Class A-1 Convertible Preferred Stock, par value $0.001 per share ("Class A-1 Preferred Stock"), of the Issuer is convertible at any time into a number of shares of common stock, par value $0.001 ("Common Stock"), of the Issuer at a rate of 10 shares of Common Stock for each share of Class A-1 Preferred Stock, for no additional consideration, in each case subject to customary adjustments under the certificate of designations for the Class A-1 Preferred Stock (the "Certificate of Designations"). Unless converted pursuant to its terms, the Class A-1 Preferred Stock does not expire. The Certificate of Designations prohibits conversion to the extent that the holder, together with its affiliates, would beneficially own in excess of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the conversion. F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"). NEA 16 is the sole member of Growth Equity Opportunities Fund V, LLC ("GEO V"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO V in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"). NEA 16 is the sole member of Growth Equity Opportunities Fund V, LLC ("GEO V"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO V in which the Reporting Person has no pecuniary interest.
F2: Acquired from the Issuer pursuant to a Securities Purchase Agreement dated May 3, 2019 with a closing date of December 24, 2019.
F3: Each share of Class A-2 Convertible Preferred Stock, par value $0.001 per share ("Class A-2 Preferred Stock"), of the Issuer is convertible at any time into a number of shares of common stock, par value $0.001 ("Common Stock"), of the Issuer at a rate of 10 shares of Common Stock for each share of Class A-2 Preferred Stock, for no additional consideration, in each case subject to customary adjustments under the certificate of designations for the Class A-2 Preferred Stock (the "Certificate of Designations"). Unless converted pursuant to its terms, the Class A-2 Preferred Stock does not expire. The Certificate of Designations prohibits conversion to the extent that the holder, together with its affiliates, would beneficially own in excess of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the conversion.
F4: Each share of Class A-1 Convertible Preferred Stock, par value $0.001 per share ("Class A-1 Preferred Stock"), of the Issuer is convertible at any time into a number of shares of common stock, par value $0.001 ("Common Stock"), of the Issuer at a rate of 10 shares of Common Stock for each share of Class A-1 Preferred Stock, for no additional consideration, in each case subject to customary adjustments under the certificate of designations for the Class A-1 Preferred Stock (the "Certificate of Designations"). Unless converted pursuant to its terms, the Class A-1 Preferred Stock does not expire. The Certificate of Designations prohibits conversion to the extent that the holder, together with its affiliates, would beneficially own in excess of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the conversion.
Roka BioScience, Inc.
Report date September 21, 2016 · Filed September 30, 2016 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.70 | IndirectSee Note 3 | 4,000 |
Reported balance
After 2016-09-21 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2016-09-21 · Purchase · Acquired 4,000 · Balance 4,000 F2: NEA 13 purchased 4,000 Shares of Series A Preferred Shares and five-year warrants to purchase 5,714,286 Common Shares at a purchase price of $1,000 per unit pursuant to a Securities Purchase Agreement dated September 16, 2016, with a closing date of September 21, 2016 for a total of $4,000,000. F1: This amendment to Form 4 is being filed to correct the number of shares of Common Stock underlying the Series A Convertible Preferred Stock. Pursuant to the terms of the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock and the lock up agreement dated September 21, 2016, NEA 13's Series A Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Shares") automatically converts, upon receipt by the Company of shareholder approval, into a number of shares of the Issuer's common stock, par value $0.001 per share ("Common Shares"), determined by dividing the stated value of each Preferred Share (which is $1,000) by $0.70. Such conversion is reflected in the amount of Common Shares reported in column 7 as underlying the security. The Series A Preferred Shares have no expiration date. F3: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: This amendment to Form 4 is being filed to correct the number of shares of Common Stock underlying the Series A Convertible Preferred Stock. Pursuant to the terms of the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock and the lock up agreement dated September 21, 2016, NEA 13's Series A Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Shares") automatically converts, upon receipt by the Company of shareholder approval, into a number of shares of the Issuer's common stock, par value $0.001 per share ("Common Shares"), determined by dividing the stated value of each Preferred Share (which is $1,000) by $0.70. Such conversion is reflected in the amount of Common Shares reported in column 7 as underlying the security. The Series A Preferred Shares have no expiration date.
F2: NEA 13 purchased 4,000 Shares of Series A Preferred Shares and five-year warrants to purchase 5,714,286 Common Shares at a purchase price of $1,000 per unit pursuant to a Securities Purchase Agreement dated September 16, 2016, with a closing date of September 21, 2016 for a total of $4,000,000.
F3: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.
SYNLOGIC, INC.
Report date January 26, 2018 · Filed January 26, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 4,228,940 |
Reported balance
After 2018-01-26 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2018-01-26 · Grant · Acquired 410,000 · Balance 4,228,940 F1: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.
Sprout Social, Inc.
Report date December 17, 2019 · Filed December 18, 2019
Jointly reported with NEW ENTERPRISE ASSOCIATES 13 LP, NEA 13 GP, Ltd, NEA Partners 13, Limited Partnership, BASKETT FOREST, KERINS PATRICK J, SANDELL SCOTT D
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 9,024,700 |
Last balance in matching sequence
After 2019-12-17 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2019-12-17 · Conversion · Acquired 6,086,620 · Balance 6,086,620 F1: The shares of Series B Convertible Preferred Stock, Series B-1 Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock on a one-for-one basis, upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. Row 2 · 2019-12-17 · Conversion · Acquired 1,837,275 · Balance 7,923,895 F1: The shares of Series B Convertible Preferred Stock, Series B-1 Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock on a one-for-one basis, upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. Row 3 · 2019-12-17 · Conversion · Acquired 832,126 · Balance 8,756,021 F1: The shares of Series B Convertible Preferred Stock, Series B-1 Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock on a one-for-one basis, upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. Row 4 · 2019-12-17 · Conversion · Acquired 268,679 · Balance 9,024,700 F1: The shares of Series B Convertible Preferred Stock, Series B-1 Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock on a one-for-one basis, upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-12-17 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-12-17 · Conversion · Disposed 6,086,620 · Balance 0 F1: The shares of Series B Convertible Preferred Stock, Series B-1 Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock on a one-for-one basis, upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series B-1 Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-12-17 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-12-17 · Conversion · Disposed 1,837,275 · Balance 0 F1: The shares of Series B Convertible Preferred Stock, Series B-1 Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock on a one-for-one basis, upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-12-17 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-12-17 · Conversion · Disposed 832,126 · Balance 0 F1: The shares of Series B Convertible Preferred Stock, Series B-1 Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock on a one-for-one basis, upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-12-17 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-12-17 · Conversion · Disposed 268,679 · Balance 0 F1: The shares of Series B Convertible Preferred Stock, Series B-1 Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock on a one-for-one basis, upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Series B Convertible Preferred Stock, Series B-1 Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's common stock on a one-for-one basis, upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.
F2: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest.
Strongbridge Biopharma plc
Report date January 01, 2018 · Filed January 09, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares, $0.01 par valueSEC Table I · non-derivative | IndirectSee Note 1 | 4,141,308 |
Reported balance
Holding disclosure · report date 2018-01-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,141,308 F1: The Reporting Person is a Director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 is the sole member of Growth Equity Opportunities Fund III, LLC ("GEO") , the direct beneficial owner of the Shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of the Shares held by GEO, except to the extent of his pecuniary interest therein. |
| Ordinary Shares Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.50 · Expires 2022-06-28 | IndirectSee Note 1 | Not disclosed |
Reported balance
Holding disclosure · report date 2018-01-01 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F1: The Reporting Person is a Director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 is the sole member of Growth Equity Opportunities Fund III, LLC ("GEO") , the direct beneficial owner of the Shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of the Shares held by GEO, except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a Director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 is the sole member of Growth Equity Opportunities Fund III, LLC ("GEO") , the direct beneficial owner of the Shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of the Shares held by GEO, except to the extent of his pecuniary interest therein.
Surface Oncology, Inc.
Report date April 23, 2018 · Filed April 23, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 3,312,877 |
Last balance in matching sequence
After 2018-04-23 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2018-04-23 · Conversion · Acquired 3,179,544 · Balance 3,179,544 F1: The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date. F2: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest. Row 2 · 2018-04-23 · Purchase · Acquired 133,333 · Balance 3,312,877 F2: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2018-04-23 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-04-23 · Conversion · Disposed 6,995,000 · Balance 0 F1: The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date. F2: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date.
F2: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.
Tempest Therapeutics, Inc.
Report date December 07, 2018 · Filed December 12, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 1,766,407 |
Reported balance
Holding disclosure · report date 2018-12-07 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,766,407 F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest.
Tracon Pharmaceuticals, Inc.
Report date March 27, 2018 · Filed March 27, 2018
Jointly reported with NEA Partners 14, L.P., NEA 14 GP, LTD
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 3,466,003 |
Reported balance
After 2018-03-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-03-27 · Purchase · Acquired 707,964 · Balance 3,466,003 F1: Acquired from the issuer pursuant to a Securities Purchase Agreement dated March 22, 2018, with a closing date of March 27, 2018. F2: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest. |
| Warrant to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.70 · Expires 2024-03-27 | IndirectSee Note 2 | 707,964 |
Reported balance
After 2018-03-27 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-03-27 · Purchase · Acquired 707,964 · Balance 707,964 F1: Acquired from the issuer pursuant to a Securities Purchase Agreement dated March 22, 2018, with a closing date of March 27, 2018. F2: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Acquired from the issuer pursuant to a Securities Purchase Agreement dated March 22, 2018, with a closing date of March 27, 2018.
F2: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.
Trevi Therapeutics, Inc.
Report date May 09, 2019 · Filed May 13, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 4,438,562 |
Last balance in matching sequence
After 2019-05-09 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2019-05-09 · Conversion · Acquired 1,938,562 · Balance 1,938,562 F1: On May 9, 2019, the Series C Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 2 · 2019-05-09 · Purchase · Acquired 1,000,000 · Balance 2,938,562 F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 3 · 2019-05-09 · Purchase · Acquired 1,500,000 · Balance 4,438,562 F3: Acquired from the Issuer pursuant to a Securities Purchase Agreement dated May 6, 2019 with a closing date of May 9, 2019. F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2019-05-09 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-05-09 · Conversion · Disposed 17,099,315 · Balance 0 F1: On May 9, 2019, the Series C Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: On May 9, 2019, the Series C Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
F3: Acquired from the Issuer pursuant to a Securities Purchase Agreement dated May 6, 2019 with a closing date of May 9, 2019.
X4 Pharmaceuticals, Inc
Report date November 20, 2017 · Filed November 20, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 2,000,000 |
Reported balance
Holding disclosure · report date 2017-11-20 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,000,000 F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
Past disclosures · reporting ended (10)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
APPIAN CORP
Report date February 13, 2018 · Filed February 15, 2018
Section 16 reporting ended · disclosed 2018-02-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 0 |
Last balance in matching sequence
After 2018-02-13 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2018-02-13 · Conversion · Acquired 2,724,202 · Balance 2,724,202 F1: Pursuant to the terms of the Class B Common Stock, New Enterprise Associates 14, L.P. ("NEA 14") converted shares of Class B Common Stock into shares of Class A Common Stock. F2: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (3)) F3: (continued from Footnote (2)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued. F4: The Reporting Person is a director of NEA 14 GP, LTD, ("NEA 14 GP") which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest. Row 2 · 2018-02-13 · Other · Disposed 2,724,202 · Balance 0 F5: NEA 14 made a pro rata distribution for no consideration of an aggregate of 2,724,202 shares of Class A Common Stock of the Issuer to its general partner and its limited partners on February 13, 2018. F4: The Reporting Person is a director of NEA 14 GP, LTD, ("NEA 14 GP") which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 7 | 0 |
Last balance in matching sequence
After 2018-02-13 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 3 · 2018-02-13 · Other · Acquired 27,242 · Balance 27,242 F6: NEA Partners 14 received 27,242 shares of Class A Common Stock of the Issuer in the distribution by NEA 14 on February 13, 2018. F7: The Reporting Person is a director of NEA 14 GP, the sole general partner of NEA Partners 14. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by NEA Partners 14 in which the Reporting Person has no pecuniary interest. Row 4 · 2018-02-13 · Other · Disposed 27,242 · Balance 0 F8: NEA Partners 14 made a pro rata distribution for no consideration of an aggregate of 27,242 shares of Class A Common Stock of the Issuer to its limited partners on February 13, 2018. F7: The Reporting Person is a director of NEA 14 GP, the sole general partner of NEA Partners 14. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by NEA Partners 14 in which the Reporting Person has no pecuniary interest. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 10 | 0 |
Last balance in matching sequence
After 2018-02-13 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 5 · 2018-02-13 · Other · Acquired 13,621 · Balance 13,621 F9: NEA 14 Manager Fund, L.P. received 13,621 shares of Class A Common Stock of the Issuer in the distribution by NEA 14 on February 13, 2018. F10: The Reporting Person is a director of NEA 14 GP, the sole general partner of NEA 14 Manager Fund, L.P. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by NEA 14 Manager Fund, L.P. in which the Reporting Person has no pecuniary interest. Row 6 · 2018-02-13 · Other · Disposed 13,621 · Balance 0 F11: NEA 14 Manager Fund, L.P. made a pro rata distribution for no consideration of an aggregate of 13,621 shares of Class A Common Stock of the Issuer to its limited partners on February 13, 2018. F10: The Reporting Person is a director of NEA 14 GP, the sole general partner of NEA 14 Manager Fund, L.P. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by NEA 14 Manager Fund, L.P. in which the Reporting Person has no pecuniary interest. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 13 | 13,895 |
Last balance in matching sequence
After 2018-02-13 transaction · row 9
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 7 · 2018-02-13 · Other · Acquired 8,949 · Balance 8,949 F12: New Enterprise Associates, LLC ("NEA LLC") received 8,949 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 14 on February 13, 2018. F13: The Reporting Person is a member of the Board of Directors of NEA LLC, which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA LLC in which the Reporting Person has no pecuniary interest. Row 9 · 2018-02-13 · Other · Acquired 4,946 · Balance 13,895 F16: NEA LLC received 4,946 shares of Class A Common Stock of the Issuer in the distribution by NEA 14 Manager Fund, L.P. on February 13, 2018. F13: The Reporting Person is a member of the Board of Directors of NEA LLC, which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA LLC in which the Reporting Person has no pecuniary interest. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 15 | 2,031 |
Last balance in matching sequence
After 2018-02-13 transaction · row 10
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 8 · 2018-02-13 · Other · Acquired 1,352 · Balance 1,352 F14: The David Mott Declaration of Trust dated May 31, 2001 as amended (the "Mott Trust") received 1,352 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 14 on February 13, 2018. F15: The securities are held directly by the Mott Trust. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, of such portion of the shares of Class A Common Stock of the Issuer held by the Mott Trust in which the Reporting Person has no pecuniary interest. Row 10 · 2018-02-13 · Other · Acquired 679 · Balance 2,031 F17: The Mott Trust received 679 shares of Class A Common Stock of the Issuer in the distribution by NEA 14 Manager Fund, L.P. on February 13, 2018. F15: The securities are held directly by the Mott Trust. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, of such portion of the shares of Class A Common Stock of the Issuer held by the Mott Trust in which the Reporting Person has no pecuniary interest. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Note 4 | 0 |
Reported balance
After 2018-02-13 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2018-02-13 · Conversion · Disposed 2,724,202 · Balance 0 F2: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (3)) F3: (continued from Footnote (2)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued. F1: Pursuant to the terms of the Class B Common Stock, New Enterprise Associates 14, L.P. ("NEA 14") converted shares of Class B Common Stock into shares of Class A Common Stock. F4: The Reporting Person is a director of NEA 14 GP, LTD, ("NEA 14 GP") which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of the Class B Common Stock, New Enterprise Associates 14, L.P. ("NEA 14") converted shares of Class B Common Stock into shares of Class A Common Stock.
F2: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (3))
F3: (continued from Footnote (2)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued.
F4: The Reporting Person is a director of NEA 14 GP, LTD, ("NEA 14 GP") which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.
F5: NEA 14 made a pro rata distribution for no consideration of an aggregate of 2,724,202 shares of Class A Common Stock of the Issuer to its general partner and its limited partners on February 13, 2018.
F6: NEA Partners 14 received 27,242 shares of Class A Common Stock of the Issuer in the distribution by NEA 14 on February 13, 2018.
F7: The Reporting Person is a director of NEA 14 GP, the sole general partner of NEA Partners 14. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by NEA Partners 14 in which the Reporting Person has no pecuniary interest.
F8: NEA Partners 14 made a pro rata distribution for no consideration of an aggregate of 27,242 shares of Class A Common Stock of the Issuer to its limited partners on February 13, 2018.
F9: NEA 14 Manager Fund, L.P. received 13,621 shares of Class A Common Stock of the Issuer in the distribution by NEA 14 on February 13, 2018.
F10: The Reporting Person is a director of NEA 14 GP, the sole general partner of NEA 14 Manager Fund, L.P. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by NEA 14 Manager Fund, L.P. in which the Reporting Person has no pecuniary interest.
F11: NEA 14 Manager Fund, L.P. made a pro rata distribution for no consideration of an aggregate of 13,621 shares of Class A Common Stock of the Issuer to its limited partners on February 13, 2018.
F12: New Enterprise Associates, LLC ("NEA LLC") received 8,949 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 14 on February 13, 2018.
F13: The Reporting Person is a member of the Board of Directors of NEA LLC, which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA LLC in which the Reporting Person has no pecuniary interest.
F14: The David Mott Declaration of Trust dated May 31, 2001 as amended (the "Mott Trust") received 1,352 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 14 on February 13, 2018.
F15: The securities are held directly by the Mott Trust. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, of such portion of the shares of Class A Common Stock of the Issuer held by the Mott Trust in which the Reporting Person has no pecuniary interest.
F16: NEA LLC received 4,946 shares of Class A Common Stock of the Issuer in the distribution by NEA 14 Manager Fund, L.P. on February 13, 2018.
F17: The Mott Trust received 679 shares of Class A Common Stock of the Issuer in the distribution by NEA 14 Manager Fund, L.P. on February 13, 2018.
Care.com Inc
Report date November 06, 2017 · Filed November 08, 2017
Section 16 reporting ended · disclosed 2017-11-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 2,256,013 |
Reported balance
After 2017-11-06 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-11-06 · Other · Disposed 1,000,000 · Balance 2,256,013 F1: New Enterprise Associates 13, L.P. ("NEA 13") made a pro rata distribution for no consideration of an aggregate of 1,000,000 shares of Common Stock of the Issuer, to its general partner and its limited partners on November 6, 2017. F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of NEA 13, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 0 |
Last balance in matching sequence
After 2017-11-06 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2017-11-06 · Other · Acquired 10,000 · Balance 10,000 F3: NEA Partners 13 received 10,000 shares of Common Stock of the Issuer in the distribution by NEA 13 on November 6, 2017. F4: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, the director beneficial owner of the shares of Common Stock of the Issuer. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA Partners 13 shares in which the Reporting Person has no pecuniary interest. Row 3 · 2017-11-06 · Other · Disposed 10,000 · Balance 0 F5: NEA Partners 13 made a pro rata distribution for no consideration of an aggregate of 10,000 shares of Common Stock of the Issuer to its limited partners on November 6, 2017. F4: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, the director beneficial owner of the shares of Common Stock of the Issuer. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA Partners 13 shares in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 7 | 504 |
Reported balance
After 2017-11-06 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2017-11-06 · Other · Acquired 504 · Balance 504 F6: The David Mott Declaration of Trust dated May 31, 2001 as amended (the "Mott Trust") received 504 shares of Common Stock of the Issuer in the distribution by NEA Partners 13 on November 6, 2017. F7: The shares are directly held by the Mott Trust. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of the shares held by the Mott Trust, except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 9 | 2,302 |
Reported balance
After 2017-11-06 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2017-11-06 · Other · Acquired 2,302 · Balance 2,302 F8: New Enterprise Associates, LLC ("NEA LLC") received 2,302 shares of Common Stock of the Issuer in the distribution by NEA Partners 13 on November 6, 2017. F9: The Reporting Person is a member of the Board of Directors of NEA LLC, which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA LLC in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: New Enterprise Associates 13, L.P. ("NEA 13") made a pro rata distribution for no consideration of an aggregate of 1,000,000 shares of Common Stock of the Issuer, to its general partner and its limited partners on November 6, 2017.
F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of NEA 13, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.
F3: NEA Partners 13 received 10,000 shares of Common Stock of the Issuer in the distribution by NEA 13 on November 6, 2017.
F4: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, the director beneficial owner of the shares of Common Stock of the Issuer. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA Partners 13 shares in which the Reporting Person has no pecuniary interest.
F5: NEA Partners 13 made a pro rata distribution for no consideration of an aggregate of 10,000 shares of Common Stock of the Issuer to its limited partners on November 6, 2017.
F6: The David Mott Declaration of Trust dated May 31, 2001 as amended (the "Mott Trust") received 504 shares of Common Stock of the Issuer in the distribution by NEA Partners 13 on November 6, 2017.
F7: The shares are directly held by the Mott Trust. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of the shares held by the Mott Trust, except to the extent of his pecuniary interest therein.
F8: New Enterprise Associates, LLC ("NEA LLC") received 2,302 shares of Common Stock of the Issuer in the distribution by NEA Partners 13 on November 6, 2017.
F9: The Reporting Person is a member of the Board of Directors of NEA LLC, which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA LLC in which the Reporting Person has no pecuniary interest.
Cascadian Therapeutics, Inc.
Report date March 09, 2018 · Filed March 13, 2018
Section 16 reporting ended · disclosed 2018-03-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 0 |
Reported balance
After 2018-03-09 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2018-03-09 · Other · Disposed 10,882,574 · Balance 0 F1: Shares of Common Stock tendered in the tender offer launched by Valley Acquisition Sub, Inc. on February 8, 2018 pursuant to that certain Agreement and Plan of Merger, dated January 30, 2018, among Seattle Genetics, Inc., Valley Acquisition Sub, Inc., and Cascadian Therapeutics, Inc., to acquire all of the outstanding shares of common stock of Cascadian Therapeutics, Inc., par value $0.001 per share, at a purchase price of $10.00 per share, net to the seller in cash, without interest and less any required withholding taxes. F2: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares of Common Stock tendered in the tender offer launched by Valley Acquisition Sub, Inc. on February 8, 2018 pursuant to that certain Agreement and Plan of Merger, dated January 30, 2018, among Seattle Genetics, Inc., Valley Acquisition Sub, Inc., and Cascadian Therapeutics, Inc., to acquire all of the outstanding shares of common stock of Cascadian Therapeutics, Inc., par value $0.001 per share, at a purchase price of $10.00 per share, net to the seller in cash, without interest and less any required withholding taxes.
F2: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.
Elastic N.V.
Report date October 10, 2018 · Filed October 10, 2018
Section 16 reporting ended · disclosed 2018-10-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Note 2 | 4,155,995 |
Reported balance
After 2018-10-10 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2018-10-10 · Conversion · Acquired 4,155,995 · Balance 4,155,995 F1: The Series C Convertible Preference Shares and the Series D Convertible Preference Shares automatically converted into Ordinary Shares on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. F2: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Note 3 | 1,528,117 |
Reported balance
After 2018-10-10 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2018-10-10 · Conversion · Acquired 1,528,117 · Balance 1,528,117 F1: The Series C Convertible Preference Shares and the Series D Convertible Preference Shares automatically converted into Ordinary Shares on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. F3: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L.P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest. |
| Series C Convertible Preference SharesSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2018-10-10 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-10-10 · Conversion · Disposed 4,155,995 · Balance 0 F1: The Series C Convertible Preference Shares and the Series D Convertible Preference Shares automatically converted into Ordinary Shares on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. F2: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest. |
| Series D Convertible Preference SharesSEC Table II · derivative / convertible security | IndirectSee Note 3 | 0 |
Reported balance
After 2018-10-10 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-10-10 · Conversion · Disposed 1,528,117 · Balance 0 F1: The Series C Convertible Preference Shares and the Series D Convertible Preference Shares automatically converted into Ordinary Shares on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. F3: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L.P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Note 4 | 655,522 |
Reported balance
Holding disclosure · report date 2018-10-10 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 655,522 F4: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Note 5 | 13,864 |
Reported balance
Holding disclosure · report date 2018-10-10 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 13,864 F5: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13. NEA Partners 13 is the sole general partner of NEA 13. NEA 13 is the sole member of nea:seed llc, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the nea:seed llc shares in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series C Convertible Preference Shares and the Series D Convertible Preference Shares automatically converted into Ordinary Shares on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date.
F2: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.
F3: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L.P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest.
F4: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.
F5: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13. NEA Partners 13 is the sole general partner of NEA 13. NEA 13 is the sole member of nea:seed llc, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the nea:seed llc shares in which the Reporting Person has no pecuniary interest.
Epizyme, Inc.
Report date August 12, 2022 · Filed August 16, 2022
Section 16 reporting ended · disclosed 2022-08-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001SEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2022-08-12 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-08-12 · Other · Disposed 215,494 · Balance 8,994 F1: Reflects disposition of shares of common stock of the Issuer ("Shares") in connection with that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Ipsen Pharma SAS and Hibernia Merger Sub, Inc. ("Merger Sub"), dated as of June 27, 2022, including the completion of a tender offer to purchase all outstanding Shares of the Issuer, at a price per Share of (i) $1.45 per Share (the "Cash Consideration"), plus (ii) one (1) contractual contingent value right per Share ("CVR"), which represents the right to receive one or more contingent payments upon the achievement of certain milestones, if any (collectively, the "Offer Price"), and the consummation of the merger (the "Merger") between the Issuer and Merger Sub on August 12, 2022. As of the effective time of the Merger (the "Effective Time"), each Share held by the Reporting Person was converted into the Offer Price. Row 2 · 2022-08-12 · Disposition to issuer · Disposed 8,994 · Balance 0 F2: Reflects disposition of restricted stock units ("RSUs") in accordance with the Merger Agreement, pursuant to which, effective immediately prior to the Effective Time, each unvested RSU held by the Reporting Person automatically vested in full and was canceled and converted into the right to receive (i) an amount of cash equal to the product of (A) the total number of Shares then underlying such RSU multiplied by (B) the Cash Consideration and (ii) one (1) CVR for each Share underlying such RSU, in each case, less applicable withholding. |
| Common Stock, par value $0.0001SEC Table I · non-derivative | IndirectSee Note | 0 |
Reported balance
After 2022-08-12 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2022-08-12 · Other · Disposed 106,959 · Balance 0 F1: Reflects disposition of shares of common stock of the Issuer ("Shares") in connection with that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Ipsen Pharma SAS and Hibernia Merger Sub, Inc. ("Merger Sub"), dated as of June 27, 2022, including the completion of a tender offer to purchase all outstanding Shares of the Issuer, at a price per Share of (i) $1.45 per Share (the "Cash Consideration"), plus (ii) one (1) contractual contingent value right per Share ("CVR"), which represents the right to receive one or more contingent payments upon the achievement of certain milestones, if any (collectively, the "Offer Price"), and the consummation of the merger (the "Merger") between the Issuer and Merger Sub on August 12, 2022. As of the effective time of the Merger (the "Effective Time"), each Share held by the Reporting Person was converted into the Offer Price. F3: The shares are directly held by the David Mott Declaration of Trust dated May 31, 2001 as amended (the "Mott Trust"). The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the Mott Trust shares in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects disposition of shares of common stock of the Issuer ("Shares") in connection with that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Ipsen Pharma SAS and Hibernia Merger Sub, Inc. ("Merger Sub"), dated as of June 27, 2022, including the completion of a tender offer to purchase all outstanding Shares of the Issuer, at a price per Share of (i) $1.45 per Share (the "Cash Consideration"), plus (ii) one (1) contractual contingent value right per Share ("CVR"), which represents the right to receive one or more contingent payments upon the achievement of certain milestones, if any (collectively, the "Offer Price"), and the consummation of the merger (the "Merger") between the Issuer and Merger Sub on August 12, 2022. As of the effective time of the Merger (the "Effective Time"), each Share held by the Reporting Person was converted into the Offer Price.
F2: Reflects disposition of restricted stock units ("RSUs") in accordance with the Merger Agreement, pursuant to which, effective immediately prior to the Effective Time, each unvested RSU held by the Reporting Person automatically vested in full and was canceled and converted into the right to receive (i) an amount of cash equal to the product of (A) the total number of Shares then underlying such RSU multiplied by (B) the Cash Consideration and (ii) one (1) CVR for each Share underlying such RSU, in each case, less applicable withholding.
F3: The shares are directly held by the David Mott Declaration of Trust dated May 31, 2001 as amended (the "Mott Trust"). The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the Mott Trust shares in which the Reporting Person has no pecuniary interest.
MULESOFT, INC
Report date May 01, 2018 · Filed May 09, 2018
Section 16 reporting ended · disclosed 2018-05-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 0 |
Last balance in matching sequence
After 2018-05-01 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2018-05-01 · Conversion · Acquired 12,679,970 · Balance 12,679,970 F1: Upon consummation of the tender offer (as described below), each share of tendered Class B common stock converted on a one-to-one basis into Class A common stock. F2: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest. Row 2 · 2018-05-01 · Other · Disposed 12,679,970 · Balance 0 F3: Pursuant to the Agreement and Plan of Merger, dated as of March 20, 2018 (the "Merger Agreement"), by and among salesforce.com, inc. ("Salesforce"), Malbec Acquisition Corp. and the Issuer, each share of Class A common stock was tendered in exchange for (i) $36.00 in cash and (ii) 0.0711 of a share of Salesforce common stock, together with cash in lieu of any fractional shares of Salesforce common stock. F2: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 0 |
Last balance in matching sequence
After 2018-05-01 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 3 · 2018-05-01 · Conversion · Acquired 2,576,939 · Balance 2,576,939 F1: Upon consummation of the tender offer (as described below), each share of tendered Class B common stock converted on a one-to-one basis into Class A common stock. F4: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 4 · 2018-05-01 · Other · Disposed 2,576,939 · Balance 0 F3: Pursuant to the Agreement and Plan of Merger, dated as of March 20, 2018 (the "Merger Agreement"), by and among salesforce.com, inc. ("Salesforce"), Malbec Acquisition Corp. and the Issuer, each share of Class A common stock was tendered in exchange for (i) $36.00 in cash and (ii) 0.0711 of a share of Salesforce common stock, together with cash in lieu of any fractional shares of Salesforce common stock. F4: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 5 | 0 |
Last balance in matching sequence
After 2018-05-01 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 5 · 2018-05-01 · Conversion · Acquired 858,978 · Balance 858,978 F1: Upon consummation of the tender offer (as described below), each share of tendered Class B common stock converted on a one-to-one basis into Class A common stock. F5: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L.P. ("NEA 15-OF"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15-OF in which the Reporting Person has no pecuniary interest. Row 6 · 2018-05-01 · Other · Disposed 858,978 · Balance 0 F3: Pursuant to the Agreement and Plan of Merger, dated as of March 20, 2018 (the "Merger Agreement"), by and among salesforce.com, inc. ("Salesforce"), Malbec Acquisition Corp. and the Issuer, each share of Class A common stock was tendered in exchange for (i) $36.00 in cash and (ii) 0.0711 of a share of Salesforce common stock, together with cash in lieu of any fractional shares of Salesforce common stock. F5: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L.P. ("NEA 15-OF"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15-OF in which the Reporting Person has no pecuniary interest. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2018-05-01 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-05-01 · Conversion · Disposed 12,679,970 · Balance 0 F1: Upon consummation of the tender offer (as described below), each share of tendered Class B common stock converted on a one-to-one basis into Class A common stock. F2: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Note 4 | 0 |
Reported balance
After 2018-05-01 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-05-01 · Conversion · Disposed 2,576,939 · Balance 0 F1: Upon consummation of the tender offer (as described below), each share of tendered Class B common stock converted on a one-to-one basis into Class A common stock. F4: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Note 5 | 0 |
Reported balance
After 2018-05-01 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2018-05-01 · Conversion · Disposed 858,978 · Balance 0 F1: Upon consummation of the tender offer (as described below), each share of tendered Class B common stock converted on a one-to-one basis into Class A common stock. F5: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L.P. ("NEA 15-OF"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15-OF in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Upon consummation of the tender offer (as described below), each share of tendered Class B common stock converted on a one-to-one basis into Class A common stock.
F2: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.
F3: Pursuant to the Agreement and Plan of Merger, dated as of March 20, 2018 (the "Merger Agreement"), by and among salesforce.com, inc. ("Salesforce"), Malbec Acquisition Corp. and the Issuer, each share of Class A common stock was tendered in exchange for (i) $36.00 in cash and (ii) 0.0711 of a share of Salesforce common stock, together with cash in lieu of any fractional shares of Salesforce common stock.
F4: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest.
F5: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L.P. ("NEA 15-OF"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15-OF in which the Reporting Person has no pecuniary interest.
Mersana Therapeutics, Inc.
Report date January 06, 2026 · Filed January 06, 2026
Section 16 reporting ended · disclosed 2026-01-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2026-01-06 transaction · row 1
1 source rowRow 1 · 2026-01-06 · Other · Disposed 23,546 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Day One Biopharmaceuticals, Inc. ("Parent") and Parent's direct wholly-owned subsidiary, Emerald Merger Sub, Inc. ("Purchaser"), dated as of November 12, 2025, the shares (the "Shares") of common stock, par value $0.0001 per share, of the Issuer (the "Common Stock") that were tendered to Purchaser prior to the expiration time of the Offer were exchanged for: (i) $25.00 per Share, net to the stockholder in cash, without interest and less any applicable tax withholding (the "Upfront Cash Consideration"), plus (ii) one non-tradeable contingent value right per Share (each, a "CVR"), F2: (continued from footnote 1) which represents the right to receive certain contingent milestone payments of up to an aggregate of $30.25 per CVR in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a contingent value rights agreement entered into by Parent and the rights agent (the Upfront Cash Consideration plus one CVR, collectively, the "Offer Price"). After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer, effective as of January 6, 2026 (the "Effective Time"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2026-01-06 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2026-01-06 · Other · Disposed 383 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Day One Biopharmaceuticals, Inc. ("Parent") and Parent's direct wholly-owned subsidiary, Emerald Merger Sub, Inc. ("Purchaser"), dated as of November 12, 2025, the shares (the "Shares") of common stock, par value $0.0001 per share, of the Issuer (the "Common Stock") that were tendered to Purchaser prior to the expiration time of the Offer were exchanged for: (i) $25.00 per Share, net to the stockholder in cash, without interest and less any applicable tax withholding (the "Upfront Cash Consideration"), plus (ii) one non-tradeable contingent value right per Share (each, a "CVR"), F2: (continued from footnote 1) which represents the right to receive certain contingent milestone payments of up to an aggregate of $30.25 per CVR in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a contingent value rights agreement entered into by Parent and the rights agent (the Upfront Cash Consideration plus one CVR, collectively, the "Offer Price"). After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer, effective as of January 6, 2026 (the "Effective Time"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent. F5: The securities were held directly by the David Mott Declaration of Trust dated May 31, 2001, as amended (the "Mott Trust"). The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Act of 1934, as amended, or otherwise of such portion of the securities held by the Mott Trust in which the Reporting Person has no pecuniary interest. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.08 | Direct | 0 |
Reported balance
After 2026-01-06 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-01-06 · Disposition to issuer · Disposed 2,460 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, effective as of immediately prior to the Effective Time, each option to purchase shares of Common Stock ("Issuer Option") that was outstanding and unexercised as of immediately prior to the Effective Time and had an exercise price per Share that was less than the Upfront Cash Consideration (each, a "Cash-Out Option"), became fully vested and was automatically cancelled and converted into the right to receive, without interest and subject to deduction for any required tax withholding, (i) the Offer Price minus (ii) the exercise price payable per share of Common Stock underlying such Cash-Out Option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $434.75 | Direct | 0 |
Reported balance
After 2026-01-06 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-01-06 · Disposition to issuer · Disposed 264 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $306.75 | Direct | 0 |
Reported balance
After 2026-01-06 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-01-06 · Disposition to issuer · Disposed 400 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $107.75 | Direct | 0 |
Reported balance
After 2026-01-06 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-01-06 · Disposition to issuer · Disposed 1,011 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $107.75 | Direct | 0 |
Reported balance
After 2026-01-06 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2026-01-06 · Disposition to issuer · Disposed 1,000 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $134.00 | Direct | 0 |
Reported balance
After 2026-01-06 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2026-01-06 · Disposition to issuer · Disposed 788 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $572.50 | Direct | 0 |
Reported balance
After 2026-01-06 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2026-01-06 · Disposition to issuer · Disposed 368 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $527.25 | Direct | 0 |
Reported balance
After 2026-01-06 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2026-01-06 · Disposition to issuer · Disposed 181 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $372.50 | Direct | 0 |
Reported balance
After 2026-01-06 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2026-01-06 · Disposition to issuer · Disposed 1,002 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $161.00 | Direct | 0 |
Reported balance
After 2026-01-06 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2026-01-06 · Disposition to issuer · Disposed 740 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $90.50 | Direct | 0 |
Reported balance
After 2026-01-06 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2026-01-06 · Disposition to issuer · Disposed 1,800 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $216.00 | Direct | 0 |
Reported balance
After 2026-01-06 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2026-01-06 · Disposition to issuer · Disposed 734 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $56.50 | Direct | 0 |
Reported balance
After 2026-01-06 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2026-01-06 · Disposition to issuer · Disposed 2,200 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Day One Biopharmaceuticals, Inc. ("Parent") and Parent's direct wholly-owned subsidiary, Emerald Merger Sub, Inc. ("Purchaser"), dated as of November 12, 2025, the shares (the "Shares") of common stock, par value $0.0001 per share, of the Issuer (the "Common Stock") that were tendered to Purchaser prior to the expiration time of the Offer were exchanged for: (i) $25.00 per Share, net to the stockholder in cash, without interest and less any applicable tax withholding (the "Upfront Cash Consideration"), plus (ii) one non-tradeable contingent value right per Share (each, a "CVR"),
F2: (continued from footnote 1) which represents the right to receive certain contingent milestone payments of up to an aggregate of $30.25 per CVR in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a contingent value rights agreement entered into by Parent and the rights agent (the Upfront Cash Consideration plus one CVR, collectively, the "Offer Price"). After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer, effective as of January 6, 2026 (the "Effective Time"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent.
F3: Pursuant to the terms of the Merger Agreement, effective as of immediately prior to the Effective Time, each option to purchase shares of Common Stock ("Issuer Option") that was outstanding and unexercised as of immediately prior to the Effective Time and had an exercise price per Share that was less than the Upfront Cash Consideration (each, a "Cash-Out Option"), became fully vested and was automatically cancelled and converted into the right to receive, without interest and subject to deduction for any required tax withholding, (i) the Offer Price minus (ii) the exercise price payable per share of Common Stock underlying such Cash-Out Option.
F4: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option.
F5: The securities were held directly by the David Mott Declaration of Trust dated May 31, 2001, as amended (the "Mott Trust"). The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Act of 1934, as amended, or otherwise of such portion of the securities held by the Mott Trust in which the Reporting Person has no pecuniary interest.
Nightstar Therapeutics plc
Report date June 07, 2019 · Filed June 07, 2019
Section 16 reporting ended · disclosed 2019-06-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Note 2 | 0 |
Reported balance
After 2019-06-07 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-06-07 · Disposition to issuer · Disposed 6,662,532 · Balance 0 F1: The ordinary shares, nominal value GBP 0.01 per share, of Nightstar Therapeutics plc (the "Issuer") may be represented by American Depositary Shares ("ADSs"). Each ADS represents one ordinary share of the Issuer. F2: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.27 · Expires 2028-02-27 | Direct | 0 |
Reported balance
After 2019-06-07 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-06-07 · Disposition to issuer · Disposed 36,400 · Balance 0 F4: Represents the payment per share received in exchange for the cancellation of each option of $25.50, less the applicable exercise price. F3: In connection with the acquisition by Tungsten Bidco Limited of the entire issued and to be issued share capital of the Issuer on June 7, 2019 by means of a scheme of arrangement under Part 26 of the UK Companies Act 2006, all stock options were cancelled in exchange for a payment equal to $25.50 with respect to each ordinary share subject to the option award, less the applicable exercise price. F1: The ordinary shares, nominal value GBP 0.01 per share, of Nightstar Therapeutics plc (the "Issuer") may be represented by American Depositary Shares ("ADSs"). Each ADS represents one ordinary share of the Issuer. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.57 · Expires 2029-01-24 | Direct | 0 |
Reported balance
After 2019-06-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-06-07 · Disposition to issuer · Disposed 21,000 · Balance 0 F4: Represents the payment per share received in exchange for the cancellation of each option of $25.50, less the applicable exercise price. F3: In connection with the acquisition by Tungsten Bidco Limited of the entire issued and to be issued share capital of the Issuer on June 7, 2019 by means of a scheme of arrangement under Part 26 of the UK Companies Act 2006, all stock options were cancelled in exchange for a payment equal to $25.50 with respect to each ordinary share subject to the option award, less the applicable exercise price. F1: The ordinary shares, nominal value GBP 0.01 per share, of Nightstar Therapeutics plc (the "Issuer") may be represented by American Depositary Shares ("ADSs"). Each ADS represents one ordinary share of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The ordinary shares, nominal value GBP 0.01 per share, of Nightstar Therapeutics plc (the "Issuer") may be represented by American Depositary Shares ("ADSs"). Each ADS represents one ordinary share of the Issuer.
F2: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest.
F3: In connection with the acquisition by Tungsten Bidco Limited of the entire issued and to be issued share capital of the Issuer on June 7, 2019 by means of a scheme of arrangement under Part 26 of the UK Companies Act 2006, all stock options were cancelled in exchange for a payment equal to $25.50 with respect to each ordinary share subject to the option award, less the applicable exercise price.
F4: Represents the payment per share received in exchange for the cancellation of each option of $25.50, less the applicable exercise price.
Oruka Therapeutics, Inc.
Report date February 26, 2018 · Filed February 27, 2018
Section 16 reporting ended · disclosed 2018-02-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 0 |
Reported balance
After 2018-02-26 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2018-02-26 · Sale · Disposed 1,460,209 · Balance 0 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.475 to $0.625, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. F2: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.475 to $0.625, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.
F2: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.
TESARO, Inc.
Report date January 22, 2019 · Filed January 22, 2019
Section 16 reporting ended · disclosed 2019-01-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-01-22 transaction · row 1
1 source rowRow 1 · 2019-01-22 · Other · Disposed 15,362 · Balance 0 F1: Tendered in connection with tender offer made by Adriatic Acquisition Corporation, a Delaware corporation ("Purchaser") and a wholly-owned subsidiary of GlaxoSmithKline plc, a public company organized under the laws of England and Wales ("Parent"), to purchase all of the issued and outstanding shares of TESARO, Inc., a Delaware corporation ("TESARO"), for $75.00 per share, pursuant to the terms of that certain Agreement and Plan of Merger, dated as of December 3, 2018 by and among TESARO, Purchaser, and Parent (the "Merger Agreement"). |
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 0 |
Reported balance
After 2019-01-22 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2019-01-22 · Other · Disposed 9,681,038 · Balance 0 F1: Tendered in connection with tender offer made by Adriatic Acquisition Corporation, a Delaware corporation ("Purchaser") and a wholly-owned subsidiary of GlaxoSmithKline plc, a public company organized under the laws of England and Wales ("Parent"), to purchase all of the issued and outstanding shares of TESARO, Inc., a Delaware corporation ("TESARO"), for $75.00 per share, pursuant to the terms of that certain Agreement and Plan of Merger, dated as of December 3, 2018 by and among TESARO, Purchaser, and Parent (the "Merger Agreement"). F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 13 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 3 | 0 |
Reported balance
After 2019-01-22 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2019-01-22 · Other · Disposed 739,517 · Balance 0 F1: Tendered in connection with tender offer made by Adriatic Acquisition Corporation, a Delaware corporation ("Purchaser") and a wholly-owned subsidiary of GlaxoSmithKline plc, a public company organized under the laws of England and Wales ("Parent"), to purchase all of the issued and outstanding shares of TESARO, Inc., a Delaware corporation ("TESARO"), for $75.00 per share, pursuant to the terms of that certain Agreement and Plan of Merger, dated as of December 3, 2018 by and among TESARO, Purchaser, and Parent (the "Merger Agreement"). F3: The Reporting Person is a director of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of New 15 Opportunity Fund, L.P. ("NEA 15-OF"), the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 15-OF in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 0 |
Reported balance
After 2019-01-22 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2019-01-22 · Other · Disposed 1,333 · Balance 0 F1: Tendered in connection with tender offer made by Adriatic Acquisition Corporation, a Delaware corporation ("Purchaser") and a wholly-owned subsidiary of GlaxoSmithKline plc, a public company organized under the laws of England and Wales ("Parent"), to purchase all of the issued and outstanding shares of TESARO, Inc., a Delaware corporation ("TESARO"), for $75.00 per share, pursuant to the terms of that certain Agreement and Plan of Merger, dated as of December 3, 2018 by and among TESARO, Purchaser, and Parent (the "Merger Agreement"). F4: The shares are directly held by the David Mott Declaration of Trust dated May 31, 2001 as amended (the "Mott Trust"). The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by the Mott Trust in which the Reporting Person has no pecuniary interest. |
| Director Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-01-22 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-01-22 · Disposition to issuer · Disposed 4,052 · Balance 0 F5: Each restricted stock unit ("RSU") represents a contingent right to receive one share of TESARO common stock. F6: These restricted stock units were cancelled pursuant to the Merger Agreement at the effective time of the Merger (the "Effective Time") in exchange for a cash payment of $75.00 per share. |
| Director Nonqualified Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $46.22 · Expires 2023-06-03 | Direct | 0 |
Reported balance
After 2019-01-22 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-01-22 · Disposition to issuer · Disposed 10,000 · Balance 0 F7: Pursuant to the Merger Agreement, each option that was outstanding and unvested immediately prior to the Effective Time vested in full at the Effective Time. [Cont'd] F8: [Continuation] Each option that was outstanding immediately prior to the Effective Time that had an exercise price per share less than $75.00 was cancelled in exchange for the right of the holder to receive (without interest) an amount in cash (less applicable withholding of taxes required by applicable law) equal to the product of (i) the total number of shares of TESARO common stock subject to the unexercised portion of such option immediately prior to the Effective Time (determined after giving effect to the accelerated vesting described in the previous sentence) multiplied by (ii) the excess, if any, of $75.00 over the applicable exercise price per share under such option. Each option that was outstanding immediately prior to the Effective Time with an exercise price per share that is greater than or equal to $75.00 was cancelled at the Effective Time, and the holder of such option is not entitled to any payment in exchange for the cancellation of the option. |
| Director Nonqualified Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $26.36 · Expires 2024-06-01 | Direct | 0 |
Reported balance
After 2019-01-22 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-01-22 · Disposition to issuer · Disposed 10,000 · Balance 0 F7: Pursuant to the Merger Agreement, each option that was outstanding and unvested immediately prior to the Effective Time vested in full at the Effective Time. [Cont'd] F8: [Continuation] Each option that was outstanding immediately prior to the Effective Time that had an exercise price per share less than $75.00 was cancelled in exchange for the right of the holder to receive (without interest) an amount in cash (less applicable withholding of taxes required by applicable law) equal to the product of (i) the total number of shares of TESARO common stock subject to the unexercised portion of such option immediately prior to the Effective Time (determined after giving effect to the accelerated vesting described in the previous sentence) multiplied by (ii) the excess, if any, of $75.00 over the applicable exercise price per share under such option. Each option that was outstanding immediately prior to the Effective Time with an exercise price per share that is greater than or equal to $75.00 was cancelled at the Effective Time, and the holder of such option is not entitled to any payment in exchange for the cancellation of the option. |
| Director Nonqualified Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $60.77 · Expires 2025-05-31 | Direct | 0 |
Reported balance
After 2019-01-22 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-01-22 · Disposition to issuer · Disposed 10,000 · Balance 0 F7: Pursuant to the Merger Agreement, each option that was outstanding and unvested immediately prior to the Effective Time vested in full at the Effective Time. [Cont'd] F8: [Continuation] Each option that was outstanding immediately prior to the Effective Time that had an exercise price per share less than $75.00 was cancelled in exchange for the right of the holder to receive (without interest) an amount in cash (less applicable withholding of taxes required by applicable law) equal to the product of (i) the total number of shares of TESARO common stock subject to the unexercised portion of such option immediately prior to the Effective Time (determined after giving effect to the accelerated vesting described in the previous sentence) multiplied by (ii) the excess, if any, of $75.00 over the applicable exercise price per share under such option. Each option that was outstanding immediately prior to the Effective Time with an exercise price per share that is greater than or equal to $75.00 was cancelled at the Effective Time, and the holder of such option is not entitled to any payment in exchange for the cancellation of the option. |
| Director Nonqualified Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $47.27 · Expires 2026-06-01 | Direct | 0 |
Reported balance
After 2019-01-22 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2019-01-22 · Disposition to issuer · Disposed 12,000 · Balance 0 F7: Pursuant to the Merger Agreement, each option that was outstanding and unvested immediately prior to the Effective Time vested in full at the Effective Time. [Cont'd] F8: [Continuation] Each option that was outstanding immediately prior to the Effective Time that had an exercise price per share less than $75.00 was cancelled in exchange for the right of the holder to receive (without interest) an amount in cash (less applicable withholding of taxes required by applicable law) equal to the product of (i) the total number of shares of TESARO common stock subject to the unexercised portion of such option immediately prior to the Effective Time (determined after giving effect to the accelerated vesting described in the previous sentence) multiplied by (ii) the excess, if any, of $75.00 over the applicable exercise price per share under such option. Each option that was outstanding immediately prior to the Effective Time with an exercise price per share that is greater than or equal to $75.00 was cancelled at the Effective Time, and the holder of such option is not entitled to any payment in exchange for the cancellation of the option. |
| Director Nonqualified Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $149.22 · Expires 2027-06-01 | Direct | 0 |
Reported balance
After 2019-01-22 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2019-01-22 · Disposition to issuer · Disposed 12,000 · Balance 0 F7: Pursuant to the Merger Agreement, each option that was outstanding and unvested immediately prior to the Effective Time vested in full at the Effective Time. [Cont'd] F8: [Continuation] Each option that was outstanding immediately prior to the Effective Time that had an exercise price per share less than $75.00 was cancelled in exchange for the right of the holder to receive (without interest) an amount in cash (less applicable withholding of taxes required by applicable law) equal to the product of (i) the total number of shares of TESARO common stock subject to the unexercised portion of such option immediately prior to the Effective Time (determined after giving effect to the accelerated vesting described in the previous sentence) multiplied by (ii) the excess, if any, of $75.00 over the applicable exercise price per share under such option. Each option that was outstanding immediately prior to the Effective Time with an exercise price per share that is greater than or equal to $75.00 was cancelled at the Effective Time, and the holder of such option is not entitled to any payment in exchange for the cancellation of the option. |
| Director Nonqualified Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $46.89 · Expires 2028-06-01 | Direct | 0 |
Reported balance
After 2019-01-22 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2019-01-22 · Disposition to issuer · Disposed 7,290 · Balance 0 F7: Pursuant to the Merger Agreement, each option that was outstanding and unvested immediately prior to the Effective Time vested in full at the Effective Time. [Cont'd] F8: [Continuation] Each option that was outstanding immediately prior to the Effective Time that had an exercise price per share less than $75.00 was cancelled in exchange for the right of the holder to receive (without interest) an amount in cash (less applicable withholding of taxes required by applicable law) equal to the product of (i) the total number of shares of TESARO common stock subject to the unexercised portion of such option immediately prior to the Effective Time (determined after giving effect to the accelerated vesting described in the previous sentence) multiplied by (ii) the excess, if any, of $75.00 over the applicable exercise price per share under such option. Each option that was outstanding immediately prior to the Effective Time with an exercise price per share that is greater than or equal to $75.00 was cancelled at the Effective Time, and the holder of such option is not entitled to any payment in exchange for the cancellation of the option. |
Filing footnotes · ownership attribution and instrument terms
F1: Tendered in connection with tender offer made by Adriatic Acquisition Corporation, a Delaware corporation ("Purchaser") and a wholly-owned subsidiary of GlaxoSmithKline plc, a public company organized under the laws of England and Wales ("Parent"), to purchase all of the issued and outstanding shares of TESARO, Inc., a Delaware corporation ("TESARO"), for $75.00 per share, pursuant to the terms of that certain Agreement and Plan of Merger, dated as of December 3, 2018 by and among TESARO, Purchaser, and Parent (the "Merger Agreement").
F2: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 13 in which the Reporting Person has no pecuniary interest.
F3: The Reporting Person is a director of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of New 15 Opportunity Fund, L.P. ("NEA 15-OF"), the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 15-OF in which the Reporting Person has no pecuniary interest.
F4: The shares are directly held by the David Mott Declaration of Trust dated May 31, 2001 as amended (the "Mott Trust"). The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by the Mott Trust in which the Reporting Person has no pecuniary interest.
F5: Each restricted stock unit ("RSU") represents a contingent right to receive one share of TESARO common stock.
F6: These restricted stock units were cancelled pursuant to the Merger Agreement at the effective time of the Merger (the "Effective Time") in exchange for a cash payment of $75.00 per share.
F7: Pursuant to the Merger Agreement, each option that was outstanding and unvested immediately prior to the Effective Time vested in full at the Effective Time. [Cont'd]
F8: [Continuation] Each option that was outstanding immediately prior to the Effective Time that had an exercise price per share less than $75.00 was cancelled in exchange for the right of the holder to receive (without interest) an amount in cash (less applicable withholding of taxes required by applicable law) equal to the product of (i) the total number of shares of TESARO common stock subject to the unexercised portion of such option immediately prior to the Effective Time (determined after giving effect to the accelerated vesting described in the previous sentence) multiplied by (ii) the excess, if any, of $75.00 over the applicable exercise price per share under such option. Each option that was outstanding immediately prior to the Effective Time with an exercise price per share that is greater than or equal to $75.00 was cancelled at the Effective Time, and the holder of such option is not entitled to any payment in exchange for the cancellation of the option.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 20, 2026 Filed Jun 23, 2026 23:51 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionRestricted Stock Units · Derivative | 18,880 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-076925 · tm2618639-4_4seq1.xml · derivative · entry 4 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,880 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 restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. F4 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 20, 2025 grant date subject to continued service on the Company's Board of Directors through the vesting date. F4 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 20, 2025 grant date subject to continued service on the Company's Board of Directors through the vesting date. Read SEC document |
| June 20, 2026 Filed Jun 23, 2026 23:51 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 18,880 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-26-076925 · tm2618639-4_4seq1.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 79,770 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 restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. Read SEC document |
| June 18, 2026 Filed Jun 23, 2026 23:51 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantRestricted Stock Units · Derivative | 14,180 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-076925 · tm2618639-4_4seq1.xml · derivative · entry 3 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,180 Underlying: Common Stock · 14,180 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. F3 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, will vest on the first anniversary of the June 18, 2026 grant date subject to continued service on the Company's Board of Directors through the vesting date. F3 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, will vest on the first anniversary of the June 18, 2026 grant date subject to continued service on the Company's Board of Directors through the vesting date. Read SEC document |
| June 18, 2026 Filed Jun 23, 2026 23:51 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to Buy) · Derivative | 21,270 | $0.00 Strike: $9.13 | $0.00 |
DisclosureSEC source: 0001104659-26-076925 · tm2618639-4_4seq1.xml · derivative · entry 2 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,270 Underlying: Common Stock · 21,270 shares Expires 2036-06-18 F2 · derivative.exercise_date: One hundred percent (100%) of the shares subject to this option grant under the Amended and Restated 2015 Stock Incentive Plan, as amended, will vest on the first anniversary of the June 18, 2026 grant date subject to continued service on the Company's Board of Directors through the vesting date. Read SEC document |
| June 16, 2026 Filed Jun 18, 2026 20:07 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantStock Option (Right to Buy) · Derivative | 39,715 | $0.00 Strike: $5.67 | $0.00 |
DisclosureSEC source: 0001219871-26-000003 · wk-form4_1781813248.xml · derivative · entry 3 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,715 Underlying: Common Stock · 39,715 shares Expires 2036-06-16 F4 · shares: The option was issued pursuant to the Issuer's Non-Employee Director Compensation Program. F5 · derivative.exercise_date: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date. Read SEC document |
| June 16, 2026 Filed Jun 18, 2026 20:07 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 26,455 | $0.00 | $0.00 |
DisclosureSEC source: 0001219871-26-000003 · wk-form4_1781813248.xml · nonDerivative · entry 2 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,349,655 F3 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock for each one (1) RSU upon the vesting thereof. The RSUs were issued pursuant to the Issuer's Non-Employee Director Compensation Program. F2 · balance_after: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. Read SEC document |
| June 16, 2026 Filed Jun 18, 2026 20:07 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 20,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001219871-26-000003 · wk-form4_1781813248.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,323,200 F1 · shares: The shares were issued pursuant to the Issuer's Non-Employee Director Compensation Program. The Reporting Person elected to receive stock in lieu of cash as permitted under the program. F2 · balance_after: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. Read SEC document |
| February 20, 2026 Filed Feb 24, 2026 02:01 UTC | ARDELYX, INC. ARDX · Entity 4972 | PurchaseCommon Stock | 333,333 | $5.84 | $1,946,331.39 |
DisclosureSEC source: 0001610717-26-000066 · form4.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,302,918 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.67 per share to $6.00 per share, inclusive. The Reporting Person undertakes to provide 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 · balance_after: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. Read SEC document |
| January 06, 2026 Filed Jan 6, 2026 21:39 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | Disposition to issuerStock Option (right to buy) · Derivative | 2,200 | Not disclosed Strike: $56.50 | Not disclosed |
DisclosureSEC source: 0001104659-26-001368 · tm261736-2_4seq1.xml · derivative · entry 15 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,200 shares Expires not disclosed F4 · price: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. Read SEC document |
| January 06, 2026 Filed Jan 6, 2026 21:39 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | Disposition to issuerStock Option (right to buy) · Derivative | 734 | Not disclosed Strike: $216.00 | Not disclosed |
DisclosureSEC source: 0001104659-26-001368 · tm261736-2_4seq1.xml · derivative · entry 14 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 734 shares Expires not disclosed F4 · price: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. Read SEC document |
| January 06, 2026 Filed Jan 6, 2026 21:39 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | Disposition to issuerStock Option (right to buy) · Derivative | 1,800 | Not disclosed Strike: $90.50 | Not disclosed |
DisclosureSEC source: 0001104659-26-001368 · tm261736-2_4seq1.xml · derivative · entry 13 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,800 shares Expires not disclosed F4 · price: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. Read SEC document |
| January 06, 2026 Filed Jan 6, 2026 21:39 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | Disposition to issuerStock Option (right to buy) · Derivative | 740 | Not disclosed Strike: $161.00 | Not disclosed |
DisclosureSEC source: 0001104659-26-001368 · tm261736-2_4seq1.xml · derivative · entry 12 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 740 shares Expires not disclosed F4 · price: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. Read SEC document |
| January 06, 2026 Filed Jan 6, 2026 21:39 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | Disposition to issuerStock Option (right to buy) · Derivative | 1,002 | Not disclosed Strike: $372.50 | Not disclosed |
DisclosureSEC source: 0001104659-26-001368 · tm261736-2_4seq1.xml · derivative · entry 11 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,002 shares Expires not disclosed F4 · price: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. Read SEC document |
| January 06, 2026 Filed Jan 6, 2026 21:39 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | Disposition to issuerStock Option (right to buy) · Derivative | 181 | Not disclosed Strike: $527.25 | Not disclosed |
DisclosureSEC source: 0001104659-26-001368 · tm261736-2_4seq1.xml · derivative · entry 10 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 181 shares Expires not disclosed F4 · price: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. Read SEC document |
| January 06, 2026 Filed Jan 6, 2026 21:39 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | Disposition to issuerStock Option (right to buy) · Derivative | 368 | Not disclosed Strike: $572.50 | Not disclosed |
DisclosureSEC source: 0001104659-26-001368 · tm261736-2_4seq1.xml · derivative · entry 9 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 368 shares Expires not disclosed F4 · price: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. Read SEC document |
| January 06, 2026 Filed Jan 6, 2026 21:39 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | Disposition to issuerStock Option (right to buy) · Derivative | 788 | Not disclosed Strike: $134.00 | Not disclosed |
DisclosureSEC source: 0001104659-26-001368 · tm261736-2_4seq1.xml · derivative · entry 8 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 788 shares Expires not disclosed F4 · price: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. Read SEC document |
| January 06, 2026 Filed Jan 6, 2026 21:39 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | Disposition to issuerStock Option (right to buy) · Derivative | 1,000 | Not disclosed Strike: $107.75 | Not disclosed |
DisclosureSEC source: 0001104659-26-001368 · tm261736-2_4seq1.xml · derivative · entry 7 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,000 shares Expires not disclosed F4 · price: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. Read SEC document |
| January 06, 2026 Filed Jan 6, 2026 21:39 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | Disposition to issuerStock Option (right to buy) · Derivative | 1,011 | Not disclosed Strike: $107.75 | Not disclosed |
DisclosureSEC source: 0001104659-26-001368 · tm261736-2_4seq1.xml · derivative · entry 6 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,011 shares Expires not disclosed F4 · price: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. Read SEC document |
| January 06, 2026 Filed Jan 6, 2026 21:39 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | Disposition to issuerStock Option (right to buy) · Derivative | 400 | Not disclosed Strike: $306.75 | Not disclosed |
DisclosureSEC source: 0001104659-26-001368 · tm261736-2_4seq1.xml · derivative · entry 5 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 400 shares Expires not disclosed F4 · price: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. Read SEC document |
| January 06, 2026 Filed Jan 6, 2026 21:39 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | Disposition to issuerStock Option (right to buy) · Derivative | 264 | Not disclosed Strike: $434.75 | Not disclosed |
DisclosureSEC source: 0001104659-26-001368 · tm261736-2_4seq1.xml · derivative · entry 4 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 264 shares Expires not disclosed F4 · price: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, effective as of 10 business days prior to the closing of the Merger (the "Acceleration Date"), each Issuer Option then outstanding and unexercised that had an exercise price per Share that was equal to or greater than the Upfront Cash Consideration (each, an "OTM Option"), became fully vested and exercisable up to and through the closing of regular trading on the Nasdaq Stock Market on the fifth business day following the Acceleration Date (the "Last Exercise Date"). OTM Options not exercised on or prior to the Last Exercise Date were cancelled and ceased to exist as of the Effective Time, and no consideration was delivered in exchange for such OTM Option. Read SEC document |
| January 06, 2026 Filed Jan 6, 2026 21:39 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | Disposition to issuerStock Option (right to buy) · Derivative | 2,460 | Not disclosed Strike: $9.08 | Not disclosed |
DisclosureSEC source: 0001104659-26-001368 · tm261736-2_4seq1.xml · derivative · entry 3 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,460 shares Expires not disclosed F3 · price: Pursuant to the terms of the Merger Agreement, effective as of immediately prior to the Effective Time, each option to purchase shares of Common Stock ("Issuer Option") that was outstanding and unexercised as of immediately prior to the Effective Time and had an exercise price per Share that was less than the Upfront Cash Consideration (each, a "Cash-Out Option"), became fully vested and was automatically cancelled and converted into the right to receive, without interest and subject to deduction for any required tax withholding, (i) the Offer Price minus (ii) the exercise price payable per share of Common Stock underlying such Cash-Out Option. F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, effective as of immediately prior to the Effective Time, each option to purchase shares of Common Stock ("Issuer Option") that was outstanding and unexercised as of immediately prior to the Effective Time and had an exercise price per Share that was less than the Upfront Cash Consideration (each, a "Cash-Out Option"), became fully vested and was automatically cancelled and converted into the right to receive, without interest and subject to deduction for any required tax withholding, (i) the Offer Price minus (ii) the exercise price payable per share of Common Stock underlying such Cash-Out Option. F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, effective as of immediately prior to the Effective Time, each option to purchase shares of Common Stock ("Issuer Option") that was outstanding and unexercised as of immediately prior to the Effective Time and had an exercise price per Share that was less than the Upfront Cash Consideration (each, a "Cash-Out Option"), became fully vested and was automatically cancelled and converted into the right to receive, without interest and subject to deduction for any required tax withholding, (i) the Offer Price minus (ii) the exercise price payable per share of Common Stock underlying such Cash-Out Option. Read SEC document |
| January 06, 2026 Filed Jan 6, 2026 21:39 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | OtherCommon Stock | 383 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-26-001368 · tm261736-2_4seq1.xml · nonDerivative · entry 2 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · kind: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Day One Biopharmaceuticals, Inc. ("Parent") and Parent's direct wholly-owned subsidiary, Emerald Merger Sub, Inc. ("Purchaser"), dated as of November 12, 2025, the shares (the "Shares") of common stock, par value $0.0001 per share, of the Issuer (the "Common Stock") that were tendered to Purchaser prior to the expiration time of the Offer were exchanged for: (i) $25.00 per Share, net to the stockholder in cash, without interest and less any applicable tax withholding (the "Upfront Cash Consideration"), plus (ii) one non-tradeable contingent value right per Share (each, a "CVR"), F2 · kind: (continued from footnote 1) which represents the right to receive certain contingent milestone payments of up to an aggregate of $30.25 per CVR in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a contingent value rights agreement entered into by Parent and the rights agent (the Upfront Cash Consideration plus one CVR, collectively, the "Offer Price"). After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer, effective as of January 6, 2026 (the "Effective Time"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent. F1 · price: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Day One Biopharmaceuticals, Inc. ("Parent") and Parent's direct wholly-owned subsidiary, Emerald Merger Sub, Inc. ("Purchaser"), dated as of November 12, 2025, the shares (the "Shares") of common stock, par value $0.0001 per share, of the Issuer (the "Common Stock") that were tendered to Purchaser prior to the expiration time of the Offer were exchanged for: (i) $25.00 per Share, net to the stockholder in cash, without interest and less any applicable tax withholding (the "Upfront Cash Consideration"), plus (ii) one non-tradeable contingent value right per Share (each, a "CVR"), F2 · price: (continued from footnote 1) which represents the right to receive certain contingent milestone payments of up to an aggregate of $30.25 per CVR in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a contingent value rights agreement entered into by Parent and the rights agent (the Upfront Cash Consideration plus one CVR, collectively, the "Offer Price"). After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer, effective as of January 6, 2026 (the "Effective Time"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent. F5 · ownership.nature: The securities were held directly by the David Mott Declaration of Trust dated May 31, 2001, as amended (the "Mott Trust"). The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Act of 1934, as amended, or otherwise of such portion of the securities held by the Mott Trust in which the Reporting Person has no pecuniary interest. Read SEC document |
| January 06, 2026 Filed Jan 6, 2026 21:39 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | OtherCommon Stock | 23,546 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-26-001368 · tm261736-2_4seq1.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Day One Biopharmaceuticals, Inc. ("Parent") and Parent's direct wholly-owned subsidiary, Emerald Merger Sub, Inc. ("Purchaser"), dated as of November 12, 2025, the shares (the "Shares") of common stock, par value $0.0001 per share, of the Issuer (the "Common Stock") that were tendered to Purchaser prior to the expiration time of the Offer were exchanged for: (i) $25.00 per Share, net to the stockholder in cash, without interest and less any applicable tax withholding (the "Upfront Cash Consideration"), plus (ii) one non-tradeable contingent value right per Share (each, a "CVR"), F2 · kind: (continued from footnote 1) which represents the right to receive certain contingent milestone payments of up to an aggregate of $30.25 per CVR in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a contingent value rights agreement entered into by Parent and the rights agent (the Upfront Cash Consideration plus one CVR, collectively, the "Offer Price"). After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer, effective as of January 6, 2026 (the "Effective Time"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent. F1 · price: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Day One Biopharmaceuticals, Inc. ("Parent") and Parent's direct wholly-owned subsidiary, Emerald Merger Sub, Inc. ("Purchaser"), dated as of November 12, 2025, the shares (the "Shares") of common stock, par value $0.0001 per share, of the Issuer (the "Common Stock") that were tendered to Purchaser prior to the expiration time of the Offer were exchanged for: (i) $25.00 per Share, net to the stockholder in cash, without interest and less any applicable tax withholding (the "Upfront Cash Consideration"), plus (ii) one non-tradeable contingent value right per Share (each, a "CVR"), F2 · price: (continued from footnote 1) which represents the right to receive certain contingent milestone payments of up to an aggregate of $30.25 per CVR in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a contingent value rights agreement entered into by Parent and the rights agent (the Upfront Cash Consideration plus one CVR, collectively, the "Offer Price"). After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer, effective as of January 6, 2026 (the "Effective Time"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent. Read SEC document |
| June 20, 2025 Filed Jun 24, 2025 22:40 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantRestricted Stock Units · Derivative | 18,884 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-062195 · tm2518838-5_4seq1.xml · derivative · entry 2 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,884 Underlying: Common Stock · 18,884 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. F2 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 20, 2024 grant date subject to continued service on the Company's Board of Directors through the vesting date. F2 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 20, 2024 grant date subject to continued service on the Company's Board of Directors through the vesting date. Read SEC document |
| June 20, 2025 Filed Jun 24, 2025 22:40 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to Buy) · Derivative | 28,326 | $6.42 Strike: $6.42 | $181,852.92 |
DisclosureSEC source: 0001104659-25-062195 · tm2518838-5_4seq1.xml · derivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,326 Underlying: Common Stock · 28,326 shares Expires 2035-06-20 F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to this option grant under the Amended and Restated 2015 Stock Incentive Plan, as amended, will vest on the first anniversary of the June 20, 2024 grant date subject to continued service on the Company's Board of Directors through the vesting date. Read SEC document |
| June 18, 2025 Filed Jun 24, 2025 00:40 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantStock Option (Right to Buy) · Derivative | 54,059 | $0.00 Strike: $3.61 | $0.00 |
DisclosureSEC source: 0001628280-25-032727 · wk-form4_1750725635.xml · derivative · entry 3 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,059 Underlying: Common Stock · 54,059 shares Expires 2035-06-18 F4 · shares: The option was issued pursuant to the Issuer's Non-Employee Director Compensation Program. F5 · derivative.exercise_date: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date. Read SEC document |
| June 18, 2025 Filed Jun 24, 2025 00:40 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 41,551 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-032727 · wk-form4_1750725635.xml · nonDerivative · entry 2 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,969,585 F3 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. The RSUs were issued pursuant to the Issuer's Non-Employee Director Compensation Program. F2 · balance_after: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. Read SEC document |
| June 18, 2025 Filed Jun 24, 2025 00:40 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 31,163 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-032727 · wk-form4_1750725635.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,928,034 F1 · shares: The shares were issued pursuant to the Issuer's Non-Employee Director Compensation Program. The Reporting Person elected to receive stock in lieu of cash as permitted under the program. F2 · balance_after: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. Read SEC document |
| June 16, 2025 Filed Jun 19, 2025 01:28 UTC | ARDELYX, INC. ARDX · Entity 4972 | PurchaseCommon Stock | 200,000 | $3.63 | $725,880.00 |
DisclosureSEC source: 0001628280-25-032226 · wk-form4_1750296481.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,896,871 F1 · price: Transaction was executed in multiple trades in prices ranging from $3.57 to $3.70, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F2 · balance_after: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. Read SEC document |
| June 12, 2025 Filed Jun 14, 2025 01:39 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionRestricted Stock Units · Derivative | 10,420 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001593968-25-000758 · primary_01.xml · derivative · entry 2 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,420 shares Expires 2034-06-12 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. Read SEC document |
| June 12, 2025 Filed Jun 14, 2025 01:39 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 10,420 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-25-000758 · primary_01.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,890 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. Read SEC document |
| June 12, 2025 Filed Jun 13, 2025 20:55 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | GrantStock Option (right to buy) · Derivative | 61,500 | $0.00 Strike: $0.36 | $0.00 |
DisclosureSEC source: 0001104659-25-059425 · tm2517941-2_4seq1.xml · derivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 61,500 Underlying: Common Stock · 61,500 shares Expires 2035-06-11 F1 · derivative.exercise_date: The award will vest in full on the earlier of the first anniversary of the date of grant or the date of the 2026 Annual Meeting of Stockholders of the Issuer, subject to the Reporting Person's continuous service with the Issuer on such vesting date. Read SEC document |
| June 09, 2025 Filed Jun 12, 2025 01:40 UTC | ARDELYX, INC. ARDX · Entity 4972 | PurchaseCommon Stock | 200,000 | $3.69 | $737,260.00 |
DisclosureSEC source: 0001628280-25-030848 · wk-form4_1749692421.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,696,871 F1 · price: Transaction was executed in multiple trades in prices ranging from $3.61 to $3.75, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F2 · balance_after: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. Read SEC document |
| May 15, 2025 Filed May 19, 2025 21:02 UTC | ARDELYX, INC. ARDX · Entity 4972 | PurchaseCommon Stock | 100,000 | $3.29 | $329,120.00 |
DisclosureSEC source: 0001628280-25-026573 · wk-form4_1747688522.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,496,871 F1 · price: Transaction was executed in multiple trades in prices ranging from $3.22 to $3.34, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F2 · balance_after: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. Read SEC document |
| May 02, 2025 Filed May 6, 2025 00:22 UTC | ARDELYX, INC. ARDX · Entity 4972 | PurchaseCommon Stock | 381,377 | $4.22 | $1,610,936.45 |
DisclosureSEC source: 0001628280-25-022357 · wk-form4_1746490936.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,396,871 F1 · price: Transaction was executed in multiple trades in prices ranging from $3.745 to $4.54, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote F2 · balance_after: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. Read SEC document |
| February 24, 2025 Filed Feb 27, 2025 00:21 UTC | ARDELYX, INC. ARDX · Entity 4972 | PurchaseCommon Stock | 77,729 | $5.00 | $388,738.27 |
DisclosureSEC source: 0001628280-25-008296 · wk-form4_1740615678.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,015,494 F1 · shares: Transaction was executed in multiple trades in prices ranging from $4.90 to $5.10, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F2 · balance_after: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. Read SEC document |
| January 21, 2025 Filed Jan 22, 2025 22:25 UTC | ARDELYX, INC. ARDX · Entity 4972 | PurchaseCommon Stock | 199,000 | $4.99 | $992,671.70 |
DisclosureSEC source: 0001628280-25-002226 · wk-form4_1737584745.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,937,765 F1 · balance_after: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. Read SEC document |
| December 26, 2024 Filed Dec 27, 2024 22:57 UTC | ARDELYX, INC. ARDX · Entity 4972 | Exercise / conversionStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $0.55 | $0.00 |
DisclosureSEC source: 0001628280-24-052533 · wk-form4_1735340223.xml · derivative · entry 2 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2032-06-15 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_date: This option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date. Read SEC document |
| December 26, 2024 Filed Dec 27, 2024 22:57 UTC | ARDELYX, INC. ARDX · Entity 4972 | Exercise / conversionCommon Stock | 100,000 | $0.55 | $55,000.00 |
DisclosureSEC source: 0001628280-24-052533 · wk-form4_1735340223.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,738,765 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 · balance_after: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. Read SEC document |
| December 19, 2024 Filed Dec 23, 2024 22:59 UTC | ARDELYX, INC. ARDX · Entity 4972 | PurchaseCommon Stock | 213,300 | $4.67 | $996,580.26 |
DisclosureSEC source: 0001628280-24-052363 · wk-form4_1734994751.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,638,765 F1 · price: Transaction was executed in multiple trades in prices ranging from $4.55 to $4.75, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F2 · balance_after: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. Read SEC document |
| November 13, 2024 Filed Nov 14, 2024 21:26 UTC | ARDELYX, INC. ARDX · Entity 4972 | PurchaseCommon Stock | 215,868 | $4.62 | $996,597.80 |
DisclosureSEC source: 0001628280-24-047919 · wk-form4_1731619603.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,425,465 F1 · price: Transaction was executed in multiple trades in prices ranging from $4.435 to $4.76, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F2 · balance_after: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 21:04 UTC | Adaptimmune Therapeutics PLC ADAP · Entity 9824 | GrantOption to purchase Ordinary Shares · Derivative | 1,583,214 | $0.00 Strike: $0.16 | $0.00 |
DisclosureSEC source: 0001104659-24-076897 · tm2418639-7_4seq1.xml · derivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,583,214 Underlying: Ordinary Shares · 1,583,214 shares Expires 2034-07-01 F1 · derivative.exercise_price: The exercise price was converted from GBP0.13 based on an exchange rate of $U.S. 1.263714 to GBP1.00. The actual exercise price will be the pounds sterling amount. Read SEC document |
| June 14, 2024 Filed Jun 17, 2024 22:47 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantStock Option (Right to Buy) · Derivative | 40,243 | $0.00 Strike: $6.35 | $0.00 |
DisclosureSEC source: 0001628280-24-028594 · wk-form4_1718664437.xml · derivative · entry 2 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,243 Underlying: Common Stock · 40,243 shares Expires 2034-06-14 F3 · shares: The option was issued pursuant to the Issuer's Non-Employee Director Compensation Program. F4 · derivative.exercise_date: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date. Read SEC document |
| June 14, 2024 Filed Jun 17, 2024 22:47 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 17,322 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-028594 · wk-form4_1718664437.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,209,597 F1 · shares: The shares were issued pursuant to the Issuer's Non-Employee Director Compensation Program. The Reporting Person elected to receive stock in lieu of cash as permitted under the program. F2 · balance_after: The Reporting Person holds 87,566 shares for the benefit of entities associated with New Enterprise Associates and disclaims beneficial ownership of such shares, except to the extent of his actual pecuniary interest therein. Read SEC document |
| June 12, 2024 Filed Jun 14, 2024 20:06 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantRestricted Stock Units · Derivative | 10,420 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001593968-24-000861 · primary_01.xml · derivative · entry 4 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,420 Underlying: Common Stock · 10,420 shares Expires 2034-06-12 Read SEC document |
| June 12, 2024 Filed Jun 14, 2024 20:06 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to Buy) · Derivative | 15,630 | $15.86 Strike: $15.86 | $247,891.80 |
DisclosureSEC source: 0001593968-24-000861 · primary_01.xml · derivative · entry 3 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,630 Underlying: Common Stock · 15,630 shares Expires 2034-06-12 Read SEC document |
| June 12, 2024 Filed Jun 14, 2024 20:06 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionRestricted Stock Units · Derivative | 6,670 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001593968-24-000861 · primary_01.xml · derivative · entry 2 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,670 shares Expires 2033-06-12 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. Read SEC document |
| June 12, 2024 Filed Jun 14, 2024 20:06 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 6,670 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-24-000861 · primary_01.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,470 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. Read SEC document |
| June 11, 2024 Filed Jun 12, 2024 20:53 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | GrantStock Option (right to buy) · Derivative | 55,000 | $0.00 Strike: $2.26 | $0.00 |
DisclosureSEC source: 0001104659-24-070898 · tm2417031-5_4seq1.xml · derivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 55,000 shares Expires 2034-06-10 F1 · derivative.exercise_date: The award will vest in full on the earlier of the first anniversary of the date of grant or the date of the 2025 Annual Meeting of Stockholders of the Issuer, subject to the Reporting Person's continuous service with the Issuer on such vesting date. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 21:11 UTC | Mersana Therapeutics, Inc. MRSN · Entity 69982 | GrantCommon Stock | 8,810 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-001358 · tm241899-1_4seq1.xml · nonDerivative · entry 1 MOTT DAVID M · CIK 0001219871 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 588,694 F1 · shares: These shares were granted in connection with the Reporting Person's election to receive the Reporting Person's quarterly retainer for director services in the form of fully vested shares of stock rather than cash. The shares were granted to the Reporting Person pursuant to the Issuer's Amended & Restated Non-Employee Director Compensation Policy, as amended, in lieu of retainer fees of $20,000 for the quarter ended December 31, 2023. The number of shares issued was based on the closing price per share of the Issuer's common stock on January 2, 2024, which was $2.27. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.