Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Day One Biopharmaceuticals, Inc.DAWN · Entity 51180 | Director | June 22, 2023 | June 26, 2023 |
| Zura Bio LtdZURA · Entity 5413 | Director | June 17, 2026 | June 22, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Day One Biopharmaceuticals, Inc.
Report date June 22, 2023 · Filed June 26, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Director Stock Option (Right to buy Common Stock)SEC Table II · derivative / convertible security · Conversion / exercise price $12.69 · Expires 2033-06-21 | Direct | 37,500 |
Reported balance
After 2023-06-22 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-06-22 · Grant · Acquired 37,500 · Balance 37,500 F1: The option vests as to 1/12th of the total grant on each monthly anniversary, beginning on July 22, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests as to 1/12th of the total grant on each monthly anniversary, beginning on July 22, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
Zura Bio Ltd
Report date June 17, 2026 · Filed June 22, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Share Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.62 · Expires 2036-06-17 | Direct | 51,000 |
Reported balance
After 2026-06-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-17 · Grant · Acquired 51,000 · Balance 51,000 F1: This option vests in twelve substantially equal monthly installments over a one-year period measured from June 17, 2026; provided, that any remaining unvested portion of the option award will vest as of the day immediately preceding the next annual meeting of shareholders following the grant date, subject to the Reporting Person's continued service as of each such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: This option vests in twelve substantially equal monthly installments over a one-year period measured from June 17, 2026; provided, that any remaining unvested portion of the option award will vest as of the day immediately preceding the next annual meeting of shareholders following the grant date, subject to the Reporting Person's continued service as of each such vesting date.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ACELYRIN, Inc.
Report date May 21, 2025 · Filed May 23, 2025
Section 16 reporting ended · disclosed 2025-05-23. 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 2025-05-21 transaction · row 1
1 source rowRow 1 · 2025-05-21 · Disposition to issuer · Disposed 2,999 · Balance 0 F1: On February 6, 2025, ACELYRIN, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (as amended on April 20, 2025, the "Merger Agreement") with Alumis, Inc., a Delaware corporation ("Parent"), and Arrow Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, on May 21, 2025, Merger Sub merged with and into the Company (the "Merger"), with the Company surviving as a wholly owned subsidiary of Parent. At the effective time of the Merger (the "Effective Time"), each share of common stock, par value $0.00001 per share, of the Company issued and outstanding was converted into the right to receive 0.4814 (the "Exchange Ratio") shares of voting common stock of Parent, par value $0.0001 per share ("Parent Common Stock"), and cash in lieu of any fractional shares. |
| Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.00 · Expires 2033-05-03 | Direct | 0 |
Reported balance
After 2025-05-21 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-05-21 · Disposition to issuer · Disposed 23,243 · Balance 0 F3: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Parent and converted into an option to purchase a number of shares of Parent Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding Company stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent. F2: 1/36 of the shares subject to the option vested on June 4, 2023, and 1/36 of the shares subject to the option vest in equal monthly installments thereafter, subject to the Reporting Person's continued service. |
| Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.46 · Expires 2034-06-06 | Direct | 0 |
Reported balance
After 2025-05-21 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-05-21 · Disposition to issuer · Disposed 92,158 · Balance 0 F3: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Parent and converted into an option to purchase a number of shares of Parent Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding Company stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent. F4: All of the shares subject to the option vest on the earlier of (i) June 7, 2025, or (ii) the day immediately preceding the next annual meeting of stockholders following the grant date of the option, subject to the Reporting Person's continued service as a director through the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: On February 6, 2025, ACELYRIN, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (as amended on April 20, 2025, the "Merger Agreement") with Alumis, Inc., a Delaware corporation ("Parent"), and Arrow Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, on May 21, 2025, Merger Sub merged with and into the Company (the "Merger"), with the Company surviving as a wholly owned subsidiary of Parent. At the effective time of the Merger (the "Effective Time"), each share of common stock, par value $0.00001 per share, of the Company issued and outstanding was converted into the right to receive 0.4814 (the "Exchange Ratio") shares of voting common stock of Parent, par value $0.0001 per share ("Parent Common Stock"), and cash in lieu of any fractional shares.
F2: 1/36 of the shares subject to the option vested on June 4, 2023, and 1/36 of the shares subject to the option vest in equal monthly installments thereafter, subject to the Reporting Person's continued service.
F3: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Parent and converted into an option to purchase a number of shares of Parent Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding Company stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.
F4: All of the shares subject to the option vest on the earlier of (i) June 7, 2025, or (ii) the day immediately preceding the next annual meeting of stockholders following the grant date of the option, subject to the Reporting Person's continued service as a director through the vesting date.
Pandion Therapeutics, Inc.
Report date April 01, 2021 · Filed April 01, 2021
Section 16 reporting ended · disclosed 2021-04-01. 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 2021-04-01 transaction · row 1
1 source rowRow 1 · 2021-04-01 · Other · Disposed 1,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated February 24, 2021, among Pandion Therapeutics, Inc. (the "Company"), Merck Sharp & Dohme Corp. ("Merck") and Panama Merger Sub, Inc. ("Merger Sub"), Merger Sub commenced a tender offer (the "Offer") to purchase all outstanding Company common stock for the price of $60.00 per share in cash (the "Offer Price"). On April 1, 2021, the Offer consummated, after which Merger Sub merged with and into the Company (the "Merger") and the Company became a wholly owned subsidiary of Merck. At the consummation of the Offer and the Merger, respectively, (i) Merger Sub purchased all shares of Company common stock that were validly tendered pursuant to the Offer for a cash payment equal to the Offer Price and (ii) all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were cancelled and converted automatically into the right to receive the Offer Price. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2021-04-01 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2021-04-01 · Other · Disposed 2,827,883 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated February 24, 2021, among Pandion Therapeutics, Inc. (the "Company"), Merck Sharp & Dohme Corp. ("Merck") and Panama Merger Sub, Inc. ("Merger Sub"), Merger Sub commenced a tender offer (the "Offer") to purchase all outstanding Company common stock for the price of $60.00 per share in cash (the "Offer Price"). On April 1, 2021, the Offer consummated, after which Merger Sub merged with and into the Company (the "Merger") and the Company became a wholly owned subsidiary of Merck. At the consummation of the Offer and the Merger, respectively, (i) Merger Sub purchased all shares of Company common stock that were validly tendered pursuant to the Offer for a cash payment equal to the Offer Price and (ii) all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were cancelled and converted automatically into the right to receive the Offer Price. F2: The shares reported are held directly by AI Pan LLC ("AI Pan"). Each of Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik may be deemed to beneficially own the Company's shares beneficially owned by AI Pan, a subsidiary in a multi-tier corporate structure of which Access Industries Holdings LLC is the parent holding company and is ultimately managed by Access Industries Management, LLC and controlled by Mr. Blavatnik. Mr. Becker is a biotechnology principal of Access Industries, Inc., an affiliate of Access Industries Management LLC, and does not have voting or dispositive power over the shares held by AI Pan. Mr. Becker disclaims beneficial ownership of the shares held by AI Pan. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.00 · Expires 2030-07-16 | Direct | 0 |
Reported balance
After 2021-04-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-04-01 · Disposition to issuer · Disposed 13,997 · Balance 0 F4: Disposed of pursuant to the Merger Agreement in exchange for the excess of the Offer Price over the exercise price of the option. F3: All options were vested and exercisable as of immediately prior to the Effective Time. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated February 24, 2021, among Pandion Therapeutics, Inc. (the "Company"), Merck Sharp & Dohme Corp. ("Merck") and Panama Merger Sub, Inc. ("Merger Sub"), Merger Sub commenced a tender offer (the "Offer") to purchase all outstanding Company common stock for the price of $60.00 per share in cash (the "Offer Price"). On April 1, 2021, the Offer consummated, after which Merger Sub merged with and into the Company (the "Merger") and the Company became a wholly owned subsidiary of Merck. At the consummation of the Offer and the Merger, respectively, (i) Merger Sub purchased all shares of Company common stock that were validly tendered pursuant to the Offer for a cash payment equal to the Offer Price and (ii) all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were cancelled and converted automatically into the right to receive the Offer Price.
F2: The shares reported are held directly by AI Pan LLC ("AI Pan"). Each of Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik may be deemed to beneficially own the Company's shares beneficially owned by AI Pan, a subsidiary in a multi-tier corporate structure of which Access Industries Holdings LLC is the parent holding company and is ultimately managed by Access Industries Management, LLC and controlled by Mr. Blavatnik. Mr. Becker is a biotechnology principal of Access Industries, Inc., an affiliate of Access Industries Management LLC, and does not have voting or dispositive power over the shares held by AI Pan. Mr. Becker disclaims beneficial ownership of the shares held by AI Pan.
F3: All options were vested and exercisable as of immediately prior to the Effective Time.
F4: Disposed of pursuant to the Merger Agreement in exchange for the excess of the Offer Price over the exercise price of the option.
Principia Biopharma Inc.
Report date September 28, 2020 · Filed September 28, 2020
Section 16 reporting ended · disclosed 2020-09-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2020-09-28 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-09-28 · Other · Disposed 667,600 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). At the effective time of the Merger (the "Effective Time"), these shares were canceled in exchange for $100.00 per share in cash, without interest and subject to any applicable withholding taxes. F2: The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the Reporting Person is the holder of units that are treated as profits interest units. The units owned by the Reporting Person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The Reporting Person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.00 · Expires 2028-09-12 | Direct | 0 |
Reported balance
After 2020-09-28 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-09-28 · Disposition to issuer · Disposed 20,475 · Balance 0 F3: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options. |
| Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $31.77 · Expires 2029-06-10 | Direct | 0 |
Reported balance
After 2020-09-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-09-28 · Disposition to issuer · Disposed 10,240 · Balance 0 F3: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options. |
| Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $62.66 · Expires 2030-06-03 | Direct | 0 |
Reported balance
After 2020-09-28 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-09-28 · Disposition to issuer · Disposed 10,240 · Balance 0 F3: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). At the effective time of the Merger (the "Effective Time"), these shares were canceled in exchange for $100.00 per share in cash, without interest and subject to any applicable withholding taxes.
F2: The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the Reporting Person is the holder of units that are treated as profits interest units. The units owned by the Reporting Person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The Reporting Person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.
F3: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 17, 2026 Filed Jun 22, 2026 20:15 UTC | Zura Bio Ltd ZURA · Entity 5413 | GrantShare Option (Right to Buy) · Derivative | 51,000 | $0.00 Strike: $3.62 | $0.00 |
DisclosureSEC source: 0001752139-26-000002 · form4-06222026_040601.xml · derivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 51,000 Underlying: Class A Ordinary Shares · 51,000 shares Expires 2036-06-17 F1 · derivative.exercise_date: This option vests in twelve substantially equal monthly installments over a one-year period measured from June 17, 2026; provided, that any remaining unvested portion of the option award will vest as of the day immediately preceding the next annual meeting of shareholders following the grant date, subject to the Reporting Person's continued service as of each such vesting date. Read SEC document |
| May 29, 2025 Filed May 30, 2025 01:39 UTC | Zura Bio Ltd ZURA · Entity 5413 | GrantShare Option (Right to Buy) · Derivative | 51,000 | $0.00 Strike: $1.02 | $0.00 |
DisclosureSEC source: 0001415889-25-014939 · form4-05302025_010547.xml · derivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 51,000 Underlying: Class A Ordinary Shares · 51,000 shares Expires 2035-05-29 F1 · derivative.exercise_date: This option vests in twelve substantially equal monthly installments over a one-year period measured from May 21, 2025; provided, that any remaining unvested portion of the option award will vest as of the day immediately preceding the next annual meeting of shareholders following the grant date, subject to the Reporting Person's continued service as of each such vesting date. Read SEC document |
| May 21, 2025 Filed May 23, 2025 20:05 UTC | ACELYRIN, Inc. SLRN · Entity 79310 | Disposition to issuerDirector Stock Option (right to buy) · Derivative | 92,158 | Not disclosed Strike: $4.46 | Not disclosed |
DisclosureSEC source: 0001962918-25-000052 · wk-form4_1748030700.xml · derivative · entry 3 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 92,158 shares Expires 2034-06-06 F3 · price: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Parent and converted into an option to purchase a number of shares of Parent Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding Company stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent. F4 · derivative.exercise_date: All of the shares subject to the option vest on the earlier of (i) June 7, 2025, or (ii) the day immediately preceding the next annual meeting of stockholders following the grant date of the option, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| May 21, 2025 Filed May 23, 2025 20:05 UTC | ACELYRIN, Inc. SLRN · Entity 79310 | Disposition to issuerDirector Stock Option (right to buy) · Derivative | 23,243 | Not disclosed Strike: $18.00 | Not disclosed |
DisclosureSEC source: 0001962918-25-000052 · wk-form4_1748030700.xml · derivative · entry 2 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 23,243 shares Expires 2033-05-03 F3 · price: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Parent and converted into an option to purchase a number of shares of Parent Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding Company stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent. F2 · derivative.exercise_date: 1/36 of the shares subject to the option vested on June 4, 2023, and 1/36 of the shares subject to the option vest in equal monthly installments thereafter, subject to the Reporting Person's continued service. Read SEC document |
| May 21, 2025 Filed May 23, 2025 20:05 UTC | ACELYRIN, Inc. SLRN · Entity 79310 | Disposition to issuerCommon Stock | 2,999 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001962918-25-000052 · wk-form4_1748030700.xml · nonDerivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: On February 6, 2025, ACELYRIN, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (as amended on April 20, 2025, the "Merger Agreement") with Alumis, Inc., a Delaware corporation ("Parent"), and Arrow Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, on May 21, 2025, Merger Sub merged with and into the Company (the "Merger"), with the Company surviving as a wholly owned subsidiary of Parent. At the effective time of the Merger (the "Effective Time"), each share of common stock, par value $0.00001 per share, of the Company issued and outstanding was converted into the right to receive 0.4814 (the "Exchange Ratio") shares of voting common stock of Parent, par value $0.0001 per share ("Parent Common Stock"), and cash in lieu of any fractional shares. Read SEC document |
| July 17, 2024 Filed Jul 19, 2024 22:18 UTC | ACELYRIN, Inc. SLRN · Entity 79310 | SaleCommon Stock | 1 | $6.86 | $6.86 |
DisclosureSEC source: 0001962918-24-000099 · wk-form4_1721427517.xml · nonDerivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,999 F1 · kind: Dr. Becker sold 1 share to AI Acel LLC ("AI"), an affiliate of his employer Access Industries, Inc., in an off-market transaction in connection with AI's July 2023 filing for clearance under the Hart-Scott-Rodino Act ("HSR"), which requires AI to purchase additional shares of the Company in advance of the second filing threshold. The share was sold for $6.86, which was the market closing price for the Company's shares on July 17, 2024. Read SEC document |
| June 07, 2024 Filed Jun 11, 2024 23:14 UTC | ACELYRIN, Inc. SLRN · Entity 79310 | GrantDirector Stock Option (right to buy) · Derivative | 92,158 | $0.00 Strike: $4.46 | $0.00 |
DisclosureSEC source: 0001962918-24-000093 · wk-form4_1718147636.xml · derivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 92,158 Underlying: Common Stock · 92,158 shares Expires 2034-06-06 F1 · derivative.exercise_date: All of the shares subject to the option vest on the earlier of (i) June 7, 2025, or (ii) the day immediately preceding the next annual meeting of stockholders following the grant date of the option, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| June 22, 2023 Filed Jun 26, 2023 23:15 UTC | Day One Biopharmaceuticals, Inc. DAWN · Entity 51180 | GrantDirector Stock Option (Right to buy Common Stock) · Derivative | 37,500 | $0.00 Strike: $12.69 | $0.00 |
DisclosureSEC source: 0001209191-23-039802 · doc4.xml · derivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,500 Underlying: Common Stock · 37,500 shares Expires 2033-06-21 F1 · derivative.exercise_date: The option vests as to 1/12th of the total grant on each monthly anniversary, beginning on July 22, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| May 09, 2023 Filed May 12, 2023 01:02 UTC | ACELYRIN, Inc. SLRN · Entity 79310 | OtherDirector Stock Option (right to buy) · Derivative | 23,243 | $0.00 Strike: $18.00 | $0.00 |
DisclosureSEC source: 0001209191-23-028874 · doc4.xml · derivative · entry 3 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,243 Underlying: Common Stock · 23,243 shares Expires 2033-05-03 F2 · kind: Each share of Class A Common Stock was reclassified into one share of Common Stock immediately prior to the completion of the IPO. F3 · derivative.exercise_date: 1/36 of the shares subject to the option vest on June 4, 2023, and 1/36 of the shares subject to the option vest in equal monthly installments thereafter, subject to the Reporting Person's continued service. F2 · derivative.underlying: Each share of Class A Common Stock was reclassified into one share of Common Stock immediately prior to the completion of the IPO. Read SEC document |
| May 09, 2023 Filed May 12, 2023 01:02 UTC | ACELYRIN, Inc. SLRN · Entity 79310 | OtherDirector Stock Option (right to buy) · Derivative | 23,243 | $0.00 Strike: $18.00 | $0.00 |
DisclosureSEC source: 0001209191-23-028874 · doc4.xml · derivative · entry 2 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 23,243 shares Expires 2033-05-03 F2 · kind: Each share of Class A Common Stock was reclassified into one share of Common Stock immediately prior to the completion of the IPO. F3 · derivative.exercise_date: 1/36 of the shares subject to the option vest on June 4, 2023, and 1/36 of the shares subject to the option vest in equal monthly installments thereafter, subject to the Reporting Person's continued service. F2 · derivative.underlying: Each share of Class A Common Stock was reclassified into one share of Common Stock immediately prior to the completion of the IPO. Read SEC document |
| May 09, 2023 Filed May 12, 2023 01:02 UTC | ACELYRIN, Inc. SLRN · Entity 79310 | PurchaseCommon Stock | 3,000 | $18.00 | $54,000.00 |
DisclosureSEC source: 0001209191-23-028874 · doc4.xml · nonDerivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,000 F1 · shares: Reflects shares purchased through a directed share program in the Issuer's initial public offering of Common Stock (the "IPO"). Read SEC document |
| May 04, 2023 Filed May 5, 2023 00:11 UTC | ACELYRIN, Inc. SLRN · Entity 79310 | GrantDirector Stock Option (right to buy) · Derivative | 23,243 | $0.00 Strike: $18.00 | $0.00 |
DisclosureSEC source: 0001209191-23-027524 · doc4.xml · derivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,243 Underlying: Class A Common · 23,243 shares Expires 2033-05-03 F1 · derivative.exercise_date: 1/36 of the shares subject to the option vest on June 4, 2023, and 1/36 of the shares subject to the option vest in equal monthly installments thereafter, subject to the Reporting Person's continued service. F2 · derivative.underlying: Each share of Class A Common Stock shall be reclassified into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock. Read SEC document |
| June 21, 2022 Filed Jun 23, 2022 22:08 UTC | Day One Biopharmaceuticals, Inc. DAWN · Entity 51180 | GrantDirector Stock Option (Right to buy Common Stock) · Derivative | 28,700 | $0.00 Strike: $16.29 | $0.00 |
DisclosureSEC source: 0001209191-22-039047 · doc4.xml · derivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,700 Underlying: Common Stock · 28,700 shares Expires 2032-06-20 F1 · derivative.exercise_date: The option vests as to 1/12th of the total shares on each monthly anniversary, beginning on July 21, 2022, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| June 01, 2021 Filed Jun 2, 2021 01:50 UTC | Day One Biopharmaceuticals, Inc. DAWN · Entity 51180 | PurchaseCommon Stock | 5,000 | $16.00 | $80,000.00 |
DisclosureSEC source: 0001209191-21-037023 · doc4.xml · nonDerivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| May 26, 2021 Filed Jun 2, 2021 01:50 UTC | Day One Biopharmaceuticals, Inc. DAWN · Entity 51180 | GrantStock Option (right to buy Common Stock) · Derivative | 63,000 | $0.00 Strike: $16.00 | $0.00 |
DisclosureSEC source: 0001209191-21-037023 · doc4.xml · derivative · entry 2 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,000 Underlying: Common Stock · 63,000 shares Expires 2031-05-25 F1 · derivative.exercise_date: The option vests as to 1/36th of the total shares on each monthly anniversary, beginning on June 26, 2021, subject to the Reporting Person's provision of service to the Issuer on each vesting date. F2 · derivative.underlying_shares: The Reporting Person is reporting the acquisition of these securities pursuant to Rule 16a-2(a) of the Exchange Act. Read SEC document |
| April 01, 2021 Filed Apr 1, 2021 19:49 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 13,997 | Not disclosed Strike: $18.00 | Not disclosed |
DisclosureSEC source: 0000899243-21-014451 · doc4.xml · derivative · entry 3 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,997 shares Expires 2030-07-16 F4 · price: Disposed of pursuant to the Merger Agreement in exchange for the excess of the Offer Price over the exercise price of the option. F3 · derivative.exercise_date: All options were vested and exercisable as of immediately prior to the Effective Time. Read SEC document |
| April 01, 2021 Filed Apr 1, 2021 19:49 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | OtherCommon Stock | 2,827,883 | $60.00 | $169,672,980.00 |
DisclosureSEC source: 0000899243-21-014451 · doc4.xml · nonDerivative · entry 2 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated February 24, 2021, among Pandion Therapeutics, Inc. (the "Company"), Merck Sharp & Dohme Corp. ("Merck") and Panama Merger Sub, Inc. ("Merger Sub"), Merger Sub commenced a tender offer (the "Offer") to purchase all outstanding Company common stock for the price of $60.00 per share in cash (the "Offer Price"). On April 1, 2021, the Offer consummated, after which Merger Sub merged with and into the Company (the "Merger") and the Company became a wholly owned subsidiary of Merck. At the consummation of the Offer and the Merger, respectively, (i) Merger Sub purchased all shares of Company common stock that were validly tendered pursuant to the Offer for a cash payment equal to the Offer Price and (ii) all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were cancelled and converted automatically into the right to receive the Offer Price. F2 · ownership.nature: The shares reported are held directly by AI Pan LLC ("AI Pan"). Each of Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik may be deemed to beneficially own the Company's shares beneficially owned by AI Pan, a subsidiary in a multi-tier corporate structure of which Access Industries Holdings LLC is the parent holding company and is ultimately managed by Access Industries Management, LLC and controlled by Mr. Blavatnik. Mr. Becker is a biotechnology principal of Access Industries, Inc., an affiliate of Access Industries Management LLC, and does not have voting or dispositive power over the shares held by AI Pan. Mr. Becker disclaims beneficial ownership of the shares held by AI Pan. Read SEC document |
| April 01, 2021 Filed Apr 1, 2021 19:49 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | OtherCommon Stock | 1,000 | $60.00 | $60,000.00 |
DisclosureSEC source: 0000899243-21-014451 · doc4.xml · nonDerivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated February 24, 2021, among Pandion Therapeutics, Inc. (the "Company"), Merck Sharp & Dohme Corp. ("Merck") and Panama Merger Sub, Inc. ("Merger Sub"), Merger Sub commenced a tender offer (the "Offer") to purchase all outstanding Company common stock for the price of $60.00 per share in cash (the "Offer Price"). On April 1, 2021, the Offer consummated, after which Merger Sub merged with and into the Company (the "Merger") and the Company became a wholly owned subsidiary of Merck. At the consummation of the Offer and the Merger, respectively, (i) Merger Sub purchased all shares of Company common stock that were validly tendered pursuant to the Offer for a cash payment equal to the Offer Price and (ii) all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were cancelled and converted automatically into the right to receive the Offer Price. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 17:30 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | PurchaseCommon Stock | 197,716 | $15.12 | $2,989,465.92 |
DisclosureSEC source: 0000899243-20-031941 · doc4.xml · nonDerivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,827,883 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.94 per share to $15.39 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 · ownership.nature: The shares reported are held directly by AI Pan LLC ("AI Pan"). Each of Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik may be deemed to beneficially own the Issuer's shares beneficially owned by AI Pan, a subsidiary in a multi-tier corporate structure of which Access Industries Holdings LLC is the parent holding company and is ultimately managed by Access Industries Management, LLC and controlled by Mr. Blavatnik. Mr. Becker is a biotechnology principal of Access Industries, Inc., an affiliate of Access Industries Management LLC, and does not have voting or dispositive power over the shares held by AI Pan. Mr. Becker disclaims beneficial ownership of the shares held by AI Pan. Read SEC document |
| November 18, 2020 Filed Nov 19, 2020 20:15 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | PurchaseCommon Stock | 14,197 | $15.26 | $216,646.22 |
DisclosureSEC source: 0000899243-20-031744 · doc4.xml · nonDerivative · entry 3 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,630,167 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.10 per share to $15.50 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 · ownership.nature: The shares reported are held directly by AI Pan LLC ("AI Pan"). Each of Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik may be deemed to beneficially own the Issuer's shares beneficially owned by AI Pan, a subsidiary in a multi-tier corporate structure of which Access Industries Holdings LLC is the parent holding company and is ultimately managed by Access Industries Management, LLC and controlled by Mr. Blavatnik. Mr. Becker is a biotechnology principal of Access Industries, Inc., an affiliate of Access Industries Management LLC, and does not have voting or dispositive power over the shares held by AI Pan. Mr. Becker disclaims beneficial ownership of the shares held by AI Pan. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 20:15 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | PurchaseCommon Stock | 13,027 | $15.43 | $201,006.61 |
DisclosureSEC source: 0000899243-20-031744 · doc4.xml · nonDerivative · entry 2 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,615,970 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.20 per share to $15.50 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 · ownership.nature: The shares reported are held directly by AI Pan LLC ("AI Pan"). Each of Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik may be deemed to beneficially own the Issuer's shares beneficially owned by AI Pan, a subsidiary in a multi-tier corporate structure of which Access Industries Holdings LLC is the parent holding company and is ultimately managed by Access Industries Management, LLC and controlled by Mr. Blavatnik. Mr. Becker is a biotechnology principal of Access Industries, Inc., an affiliate of Access Industries Management LLC, and does not have voting or dispositive power over the shares held by AI Pan. Mr. Becker disclaims beneficial ownership of the shares held by AI Pan. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 20:15 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | PurchaseCommon Stock | 2,170 | $14.63 | $31,747.10 |
DisclosureSEC source: 0000899243-20-031744 · doc4.xml · nonDerivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,602,943 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.20 per share to $15.00 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 · ownership.nature: The shares reported are held directly by AI Pan LLC ("AI Pan"). Each of Access Industries Holdings LLC, Access Industries Management, LLC and Len Blavatnik may be deemed to beneficially own the Issuer's shares beneficially owned by AI Pan, a subsidiary in a multi-tier corporate structure of which Access Industries Holdings LLC is the parent holding company and is ultimately managed by Access Industries Management, LLC and controlled by Mr. Blavatnik. Mr. Becker is a biotechnology principal of Access Industries, Inc., an affiliate of Access Industries Management LLC, and does not have voting or dispositive power over the shares held by AI Pan. Mr. Becker disclaims beneficial ownership of the shares held by AI Pan. Read SEC document |
| September 28, 2020 Filed Sep 28, 2020 17:24 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Disposition to issuerDirector Stock Option (right to buy) · Derivative | 10,240 | Not disclosed Strike: $62.66 | Not disclosed |
DisclosureSEC source: 0001209191-20-052229 · doc4.xml · derivative · entry 4 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,240 shares Expires 2030-06-03 F3 · kind: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options. F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options. Read SEC document |
| September 28, 2020 Filed Sep 28, 2020 17:24 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Disposition to issuerDirector Stock Option (right to buy) · Derivative | 10,240 | Not disclosed Strike: $31.77 | Not disclosed |
DisclosureSEC source: 0001209191-20-052229 · doc4.xml · derivative · entry 3 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,240 shares Expires 2029-06-10 F3 · kind: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options. F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options. Read SEC document |
| September 28, 2020 Filed Sep 28, 2020 17:24 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | Disposition to issuerDirector Stock Option (right to buy) · Derivative | 20,475 | Not disclosed Strike: $17.00 | Not disclosed |
DisclosureSEC source: 0001209191-20-052229 · doc4.xml · derivative · entry 2 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,475 shares Expires 2028-09-12 F3 · kind: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options. F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options. Read SEC document |
| September 28, 2020 Filed Sep 28, 2020 17:24 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | OtherCommon Stock | 667,600 | $100.00 | $66,760,000.00 |
DisclosureSEC source: 0001209191-20-052229 · doc4.xml · nonDerivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · kind: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). At the effective time of the Merger (the "Effective Time"), these shares were canceled in exchange for $100.00 per share in cash, without interest and subject to any applicable withholding taxes. F2 · ownership.nature: The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the Reporting Person is the holder of units that are treated as profits interest units. The units owned by the Reporting Person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The Reporting Person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| July 21, 2020 Filed Jul 21, 2020 19:39 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | ConversionSeries B Preferred Stock · Derivative | 9,579,462 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-019874 · doc4.xml · derivative · entry 5 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 1,878,551 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock converted into Common Stock on a 5.0994-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series B Preferred Stock converted into Common Stock on a 5.0994-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series B Preferred Stock converted into Common Stock on a 5.0994-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The shares are held of record by AI Pan LLC. Access Industries Management, LLC ("Access LLC") is AI Pan LLC's manager. Len Blavatnik is the manager of Access LLC, and may be deemed to have sole voting and dispositive power over the shares held by AI Pan LLC. Mr. Becker is a biotechnology principal of Access Industries, Inc., an affiliate of Access LLC, and does not have voting or dispositive power over the shares held by AI Pan LLC. Mr. Becker disclaims beneficial ownership of the shares held by AI Pan LLC. Read SEC document |
| July 21, 2020 Filed Jul 21, 2020 19:39 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | PurchaseCommon Stock | 1,000 | $18.00 | $18,000.00 |
DisclosureSEC source: 0000899243-20-019874 · doc4.xml · nonDerivative · entry 3 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 F3 · shares: Represents shares purchased through a directed share program in connection with the initial public offering of Pandion Therapeutics, Inc.'s common stock, which closed on July 21, 2020. These shares of common stock were purchased at the public offering price of $18.00 per share. Read SEC document |
| July 21, 2020 Filed Jul 21, 2020 19:39 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | PurchaseCommon Stock | 722,222 | $18.00 | $12,999,996.00 |
DisclosureSEC source: 0000899243-20-019874 · doc4.xml · nonDerivative · entry 2 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,600,773 F2 · ownership.nature: The shares are held of record by AI Pan LLC. Access Industries Management, LLC ("Access LLC") is AI Pan LLC's manager. Len Blavatnik is the manager of Access LLC, and may be deemed to have sole voting and dispositive power over the shares held by AI Pan LLC. Mr. Becker is a biotechnology principal of Access Industries, Inc., an affiliate of Access LLC, and does not have voting or dispositive power over the shares held by AI Pan LLC. Mr. Becker disclaims beneficial ownership of the shares held by AI Pan LLC. Read SEC document |
| July 21, 2020 Filed Jul 21, 2020 19:39 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | ConversionCommon Stock | 1,878,551 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-019874 · doc4.xml · nonDerivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,878,551 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B Preferred Stock converted into Common Stock on a 5.0994-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The shares are held of record by AI Pan LLC. Access Industries Management, LLC ("Access LLC") is AI Pan LLC's manager. Len Blavatnik is the manager of Access LLC, and may be deemed to have sole voting and dispositive power over the shares held by AI Pan LLC. Mr. Becker is a biotechnology principal of Access Industries, Inc., an affiliate of Access LLC, and does not have voting or dispositive power over the shares held by AI Pan LLC. Mr. Becker disclaims beneficial ownership of the shares held by AI Pan LLC. Read SEC document |
| July 17, 2020 Filed Jul 21, 2020 19:39 UTC | Pandion Therapeutics, Inc. PAND · Entity 11788 | GrantStock Option (right to buy) · Derivative | 13,997 | $0.00 Strike: $18.00 | $0.00 |
DisclosureSEC source: 0000899243-20-019874 · doc4.xml · derivative · entry 4 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,997 Underlying: Common Stock · 13,997 shares Expires 2030-07-16 F4 · derivative.exercise_date: This option award was granted on July 17, 2020. The shares underlying the award vest in equal monthly installments following July 17, 2020 through July 17, 2023, subject to the reporting person's continued service on each applicable vesting date. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 20:03 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | GrantDirector Stock Option (right to buy) · Derivative | 10,240 | $0.00 Strike: $62.66 | $0.00 |
DisclosureSEC source: 0001209191-20-035140 · doc4.xml · derivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,240 Underlying: Common Stock · 10,240 shares Expires 2030-06-03 F1 · derivative.exercise_date: The stock option vests in equal monthly installments over a one year period such that the option is fully vested on the first anniversary of the date of grant, subject to the continuing service of the Reporting Person on each vesting date. Read SEC document |
| November 20, 2019 Filed Nov 22, 2019 20:07 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | PurchaseCommon Stock | 55,000 | $29.94 | $1,646,700.00 |
DisclosureSEC source: 0001209191-19-057879 · doc4.xml · nonDerivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 667,600 F1 · price: Price represents the weighted average price of the shares purchased. The purchase price ranged from $29.575 to $30.145 per share. Upon request by the Commission staff, Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F2 · ownership.nature: The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the Reporting Person is the holder of units that are treated as profits interest units. The units owned by the Reporting Person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The Reporting Person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| October 29, 2019 Filed Oct 30, 2019 16:16 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | PurchaseCommon Stock | 9,196 | $33.98 | $312,477.32 |
DisclosureSEC source: 0001209191-19-054503 · doc4.xml · nonDerivative · entry 2 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 612,600 F3 · price: Price represents the weighted average price of the shares purchased. The purchase price ranged from $33.50 to $34.00 per share. Upon request by the Commission staff, the Issuer or the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F2 · ownership.nature: The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the Reporting Person is the holder of units that are treated as profits interest units. The units owned by the Reporting Person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The Reporting Person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| October 28, 2019 Filed Oct 30, 2019 16:16 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | PurchaseCommon Stock | 68,404 | $33.41 | $2,285,548.65 |
DisclosureSEC source: 0001209191-19-054503 · doc4.xml · nonDerivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 603,404 F1 · price: Price represents the weighted average price of the shares purchased. The purchase price ranged from $32.66 to $33.65 per share. Upon request by the Commission staff, the Issuer or the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F2 · ownership.nature: The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the Reporting Person is the holder of units that are treated as profits interest units. The units owned by the Reporting Person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The Reporting Person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| October 18, 2019 Filed Oct 22, 2019 16:06 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | PurchaseCommon Stock | 535,000 | $28.00 | $14,980,000.00 |
DisclosureSEC source: 0001209191-19-053770 · doc4.xml · nonDerivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 535,000 F1 · shares: Reflects shares of Common Stock of Principia Biopharma Inc. (the "Issuer") that were purchased in connection with the Issuer's public offering. F2 · ownership.nature: The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the Reporting Person is the holder of units that are treated as profits interest units. The units owned by the Reporting Person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The Reporting Person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document |
| June 11, 2019 Filed Jun 11, 2019 18:51 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | GrantDirector Stock Option (right to buy) · Derivative | 10,240 | $0.00 Strike: $31.77 | $0.00 |
DisclosureSEC source: 0001209191-19-036235 · doc4.xml · derivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,240 Underlying: Common Stock · 10,240 shares Expires 2029-06-10 F1 · derivative.exercise_date: The stock option vests in equal monthly installments over a one year period such that the option is fully vested on the first anniversary of the date of grant, subject to the continuing service of the Reporting Person on each vesting date. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:58 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionSeries C Convertible Preferred Stock · Derivative | 167,537 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051835 · doc4.xml · derivative · entry 11 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 167,537 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · price: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F5 · ownership.nature: These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Each of Ronald M. Hunt, Vijay K. Lathi, Liam T. Ratcliffe and Isaac J. Manke, the managers of BPO Management-II (each, a "BPO-II Manager" and collectively, the "BPO-II Managers"), and Becker may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F6 · ownership.nature: Each of the BPO-II Managers and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:58 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionSeries B-3 Convertible Preferred Stock · Derivative | 544,047 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051835 · doc4.xml · derivative · entry 10 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 544,047 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · price: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the NLV-II Managers and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:58 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionSeries B-2 Convertible Preferred Stock · Derivative | 260,617 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051835 · doc4.xml · derivative · entry 9 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 260,617 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · price: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the NLV-II Managers and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:58 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionSeries B-1 Convertible Preferred Stock · Derivative | 312,741 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051835 · doc4.xml · derivative · entry 8 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 312,741 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · price: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the NLV-II Managers and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:58 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionSeries A Convertible Preferred Stock · Derivative | 1,070,771 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051835 · doc4.xml · derivative · entry 7 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 1,070,771 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · price: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the NLV-II Managers and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:58 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | PurchaseCommon Stock | 270,000 | $17.00 | $4,590,000.00 |
DisclosureSEC source: 0001209191-18-051835 · doc4.xml · nonDerivative · entry 6 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 437,537 F5 · ownership.nature: These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Each of Ronald M. Hunt, Vijay K. Lathi, Liam T. Ratcliffe and Isaac J. Manke, the managers of BPO Management-II (each, a "BPO-II Manager" and collectively, the "BPO-II Managers"), and Becker may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F6 · ownership.nature: Each of the BPO-II Managers and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:58 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionCommon Stock | 167,537 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051835 · doc4.xml · nonDerivative · entry 5 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 167,537 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F5 · ownership.nature: These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Each of Ronald M. Hunt, Vijay K. Lathi, Liam T. Ratcliffe and Isaac J. Manke, the managers of BPO Management-II (each, a "BPO-II Manager" and collectively, the "BPO-II Managers"), and Becker may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F6 · ownership.nature: Each of the BPO-II Managers and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:58 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionCommon Stock | 544,047 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051835 · doc4.xml · nonDerivative · entry 4 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,188,176 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the NLV-II Managers and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:58 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionCommon Stock | 260,617 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051835 · doc4.xml · nonDerivative · entry 3 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,644,129 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the NLV-II Managers and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:58 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionCommon Stock | 312,741 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051835 · doc4.xml · nonDerivative · entry 2 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,383,512 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the NLV-II Managers and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 18:58 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | ConversionCommon Stock | 1,070,771 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-051835 · doc4.xml · nonDerivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,070,771 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: All series of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These shares are held directly by New Leaf Ventures II, L.P. ("NLV-II"). The general partner of NLV-II is New Leaf Venture Associates II, L.P. ("NLVA-II"). The general partner of NLVA-II is New Leaf Venture Management II, L.L.C. ("Management-II"). Each of NLVA-II and Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-II or Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: Each of Ronald M. Hunt, Vijay K. Lathi, and Liam T. Ratcliffe, the managers of Management-II (each, a "NLV-II Manager" and collectively, the "NLV-II Managers"), and Daniel J. Becker ("Becker"), a member of the Issuer's board of directors and principal of New Leaf Venture Partners, L.L.C. (together with its affiliates, "New Leaf Ventures"), may each, by virtue of their respective affiliations with and/or interests in New Leaf Ventures, be deemed to have shared voting and investment power with respect to these securities. F4 · ownership.nature: Each of the NLV-II Managers and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 13, 2018 Filed Jan 10, 2019 21:43 UTC | Principia Biopharma Inc. PRNB · Entity 146423 | GrantDirector Stock Option (right to buy) · Derivative | 20,475 | $0.00 Strike: $17.00 | $0.00 |
DisclosureSEC source: 0001209191-19-003363 · doc4.xml · derivative · entry 1 Becker Daniel J. · CIK 0001752139 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,475 Underlying: Common Stock · 20,475 shares Expires 2028-09-12 F1 · derivative.exercise_date: The stock option vests in equal monthly installments over a three year period, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date. 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.