Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALPINE IMMUNE SCIENCES, INC.ALPN · Entity 90802 | 10% owner | February 11, 2022 | February 15, 2022 |
| Arcutis Biotherapeutics, Inc.ARQT · Entity 4236 | Director | June 05, 2026 | June 12, 2026 |
| Frazier Lifesciences Acquisition CorpFLAC · Entity 122080 | Director | December 08, 2020 | December 17, 2020 |
| Imago BioSciences, Inc.IMGO · Entity 15490 | Director | July 20, 2021 | July 20, 2021 |
| Iterum Therapeutics plcITRM · Entity 72802 | Director | July 01, 2020 | July 06, 2020 |
| MBX Biosciences, Inc.MBX · Entity 4247 | Director · 10% owner | June 04, 2026 | June 05, 2026 |
| Mirum Pharmaceuticals, Inc.MIRM · Entity 2416 | Director | June 15, 2026 | June 18, 2026 |
| Passage BIO, Inc.PASG · Entity 7829 | Director · 10% owner | March 03, 2020 | March 03, 2020 |
| Phathom Pharmaceuticals, Inc.PHAT · Entity 5177 | 10% owner | June 12, 2020 | June 16, 2020 |
| Sierra Oncology, Inc.SRRA · Entity 125698 | 10% owner | February 14, 2017 | February 24, 2017 |
| Vaxcyte, Inc.PCVX · Entity 1164 | Director | June 02, 2021 | June 03, 2021 |
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.
ALPINE IMMUNE SCIENCES, INC.
Report date February 11, 2022 · Filed February 15, 2022
Jointly reported with Frazier Life Sciences VIII, L.P., FHM LIFE SCIENCES VIII, L.P., FHM LIFE SCIENCES VIII, L.L.C., Topper James N
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,484,115 |
Reported balance
After 2022-02-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-02-11 · Purchase · Acquired 112,665 · Balance 1,484,115 F1: The reportable securities are held directly by Frazier Life Sciences VIII, L.P. ("FLS LP"). FHM Life Sciences VIII, L.P. ("FHM LP") is the general partner of FLS LP. FHM Life Sciences VIII, L.L.C. ("FHM LLC") is the general partner of FHM LP. James N. Topper and Patrick J. Heron are the sole managing members of FHM LLC. Mr. Topper, Mr. Heron, FHM LP and FHM LLC disclaims beneficial ownership of the securities held by FLS LP except, to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The reportable securities are held directly by Frazier Life Sciences VIII, L.P. ("FLS LP"). FHM Life Sciences VIII, L.P. ("FHM LP") is the general partner of FLS LP. FHM Life Sciences VIII, L.L.C. ("FHM LLC") is the general partner of FHM LP. James N. Topper and Patrick J. Heron are the sole managing members of FHM LLC. Mr. Topper, Mr. Heron, FHM LP and FHM LLC disclaims beneficial ownership of the securities held by FLS LP except, to the extent of his or its pecuniary interest therein, if any.
Arcutis Biotherapeutics, Inc.
Report date June 05, 2026 · Filed June 12, 2026 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Frazier Life Sciences X, L.P. | 27,448 |
Reported balance
Holding disclosure · report date 2026-06-05 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance 27,448 F1: Due to a scrivener's error on the Reporting Person's Form 4 filed on June 9, 2026, the number of shares of common stock indirectly held by the Reporting Person through Frazier Life Sciences X, L.P. reflected a discrepancy that inadvertently understated the Reporting Person's indirect beneficial ownership by 2,646 shares. The correct number of shares so indirectly held by the Reporting Person is reflected in this Form 4/A. F2: The shares reported herein are held of record by Frazier Life Sciences X, L.P. FHMLS X, L.P. is the general partner of Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. The Reporting Person is one of two managing members of FHMLS X, L.L.C. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Due to a scrivener's error on the Reporting Person's Form 4 filed on June 9, 2026, the number of shares of common stock indirectly held by the Reporting Person through Frazier Life Sciences X, L.P. reflected a discrepancy that inadvertently understated the Reporting Person's indirect beneficial ownership by 2,646 shares. The correct number of shares so indirectly held by the Reporting Person is reflected in this Form 4/A.
F2: The shares reported herein are held of record by Frazier Life Sciences X, L.P. FHMLS X, L.P. is the general partner of Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. The Reporting Person is one of two managing members of FHMLS X, L.L.C. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes.
Frazier Lifesciences Acquisition Corp
Report date December 08, 2020 · Filed December 17, 2020 · Amendment
Jointly reported with Topper James N, Frazier Lifesciences Sponsor LLC, Frazier Life Sciences X, L.P., FHMLS X, L.P., FHMLS X, L.L.C.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Ordinary SharesSEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2020-12-08 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance Not disclosed F1: As described in the Issuer's Registration Statement on Form S-1 (File No. 333-250858) (the "Registration Statement") under the heading "Description of Securities," the Class B Ordinary Shares will automatically convert into Class A Ordinary Shares of the Issuer at the time of the Issuer's initial business combination and have no expiration date. The shares reported herein include up to 450,000 Class B Ordinary Shares that are subject to forfeiture if the underwriter of the Issuer's initial public offering does not exercise in full its option to purchase additional units, as described in the Registration Statement. F2: Frazier Lifesciences Sponsor LLC is the record holder of the shares reported herein. Frazier Life Sciences X, L.P. is the sole member of Frazier Lifesciences Sponsor LLC. FHMLS X, L.P. is the general partner of Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. Patrick J. Heron and James N. Topper are the members of FHMLS X, L.L.C. and therefore share voting and investment power over the shares held by Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. Mr. Topper is the Chief Executive Officer and Chairman of the Board of Directors (the "Board") of the Issuer. F3: By virtue of Mr. Topper's representation on the Issuer's Board, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the reporting persons may be deemed directors by deputization of the Issuer. As such, each of Frazier Life Sciences X, L.P., FHMLS X, L.P., FHMLS X, L.L.C., Mr. Topper and Mr. Heron may be deemed to have or share beneficial ownership of the common stock held directly by Frazier Lifesciences Sponsor LLC. Each such entity or person disclaims any such beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: As described in the Issuer's Registration Statement on Form S-1 (File No. 333-250858) (the "Registration Statement") under the heading "Description of Securities," the Class B Ordinary Shares will automatically convert into Class A Ordinary Shares of the Issuer at the time of the Issuer's initial business combination and have no expiration date. The shares reported herein include up to 450,000 Class B Ordinary Shares that are subject to forfeiture if the underwriter of the Issuer's initial public offering does not exercise in full its option to purchase additional units, as described in the Registration Statement.
F2: Frazier Lifesciences Sponsor LLC is the record holder of the shares reported herein. Frazier Life Sciences X, L.P. is the sole member of Frazier Lifesciences Sponsor LLC. FHMLS X, L.P. is the general partner of Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. Patrick J. Heron and James N. Topper are the members of FHMLS X, L.L.C. and therefore share voting and investment power over the shares held by Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. Mr. Topper is the Chief Executive Officer and Chairman of the Board of Directors (the "Board") of the Issuer.
F3: By virtue of Mr. Topper's representation on the Issuer's Board, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the reporting persons may be deemed directors by deputization of the Issuer. As such, each of Frazier Life Sciences X, L.P., FHMLS X, L.P., FHMLS X, L.L.C., Mr. Topper and Mr. Heron may be deemed to have or share beneficial ownership of the common stock held directly by Frazier Lifesciences Sponsor LLC. Each such entity or person disclaims any such beneficial ownership of such securities except to the extent of their pecuniary interest therein.
Imago BioSciences, Inc.
Report date July 20, 2021 · Filed July 20, 2021
Jointly reported with FHM VII, L.L.C., FHM VII, L.P., Frazier Healthcare VII, L.P., Frazier Healthcare VII-A, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 41,582 |
Reported balance
After 2021-07-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-07-20 · Purchase · Acquired 41,582 · Balance 41,582 F1: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 145,918 |
Reported balance
After 2021-07-20 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-07-20 · Purchase · Acquired 145,918 · Balance 145,918 F2: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 383,514 |
Reported balance
After 2021-07-20 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2021-07-20 · Conversion · Acquired 341,932 · Balance 383,514 F3: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F1: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 594,583 |
Reported balance
After 2021-07-20 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2021-07-20 · Conversion · Acquired 211,069 · Balance 594,583 F3: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F1: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 658,943 |
Reported balance
After 2021-07-20 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2021-07-20 · Conversion · Acquired 64,360 · Balance 658,943 F3: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F1: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,345,808 |
Reported balance
After 2021-07-20 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2021-07-20 · Conversion · Acquired 1,199,890 · Balance 1,345,808 F3: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F2: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,086,481 |
Reported balance
After 2021-07-20 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2021-07-20 · Conversion · Acquired 740,673 · Balance 2,086,481 F3: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F2: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,312,331 |
Reported balance
After 2021-07-20 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2021-07-20 · Conversion · Acquired 225,850 · Balance 2,312,331 F3: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F2: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-07-20 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2021-07-20 · Conversion · Disposed 341,932 · Balance 0 F3: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F1: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-07-20 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2021-07-20 · Conversion · Disposed 1,199,890 · Balance 0 F3: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F2: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-07-20 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2021-07-20 · Conversion · Disposed 211,069 · Balance 0 F3: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F1: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-07-20 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2021-07-20 · Conversion · Disposed 740,673 · Balance 0 F3: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F2: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-07-20 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2021-07-20 · Conversion · Disposed 64,360 · Balance 0 F3: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F1: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-07-20 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2021-07-20 · Conversion · Disposed 225,850 · Balance 0 F3: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F2: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any.
F2: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any.
F3: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date.
Iterum Therapeutics plc
Report date July 01, 2020 · Filed July 06, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 9,006 |
Reported balance
After 2020-07-01 transaction · row 1
1 source rowRow 1 · 2020-07-01 · Exercise / conversion · Acquired 2,852 · Balance 9,006 F1: Restricted stock units converted into ordinary shares on a one-for-one basis upon vesting of the units. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-07-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-07-01 · Exercise / conversion · Disposed 2,852 · Balance 0 F1: Restricted stock units converted into ordinary shares on a one-for-one basis upon vesting of the units. F4: On June 13, 2019, the reporting person was granted an award of 2,852 restricted stock units, which vested on July 1, 2020. |
| Ordinary SharesSEC Table I · non-derivative | IndirectBy Frazier Healthcare VII, L.P. | 1,197,161 |
Reported balance
Holding disclosure · report date 2020-07-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,197,161 F2: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The sole general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The reporting person is one of six members of FHM VII, L.L.C. The reporting person, FHM VII, L.P. and FHM VII, L.L.C. disclaims Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any. |
| Ordinary SharesSEC Table I · non-derivative | IndirectBy Frazier Healthcare VII-A, L.P. | 341,155 |
Reported balance
Holding disclosure · report date 2020-07-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 341,155 F3: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The sole general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The reporting person is one of six members of FHM VII, L.L.C. The reporting person, FHM VII, L.P. and FHM VII, L.L.C. disclaims Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock units converted into ordinary shares on a one-for-one basis upon vesting of the units.
F2: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The sole general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The reporting person is one of six members of FHM VII, L.L.C. The reporting person, FHM VII, L.P. and FHM VII, L.L.C. disclaims Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any.
F3: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The sole general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The reporting person is one of six members of FHM VII, L.L.C. The reporting person, FHM VII, L.P. and FHM VII, L.L.C. disclaims Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any.
F4: On June 13, 2019, the reporting person was granted an award of 2,852 restricted stock units, which vested on July 1, 2020.
MBX Biosciences, Inc.
Report date June 04, 2026 · Filed June 05, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $30.91 · Expires 2036-06-04 | Direct | 12,500 |
Reported balance
After 2026-06-04 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-04 · Grant · Acquired 12,500 · Balance 12,500 F1: The grant will vest in full on the earlier of the one-year anniversary of the grant date or on the date of our next annual meeting of stockholders, subject to the non-employee director's continued services to the Company. |
Filing footnotes · ownership attribution and instrument terms
F1: The grant will vest in full on the earlier of the one-year anniversary of the grant date or on the date of our next annual meeting of stockholders, subject to the non-employee director's continued services to the Company.
Mirum Pharmaceuticals, Inc.
Report date June 15, 2026 · Filed June 18, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $101.00 · Expires 2036-06-14 | Direct | 3,772 |
Reported balance
After 2026-06-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-15 · Grant · Acquired 3,772 · Balance 3,772 F1: The shares vest on the first anniversary of the grant date, provided that the option will in any case be fully vested on the date of the Issuer's 2027 annual stockholder meeting. |
| Deferred Stock UnitsSEC Table II · derivative / convertible security | Direct | 1,980 |
Reported balance
After 2026-06-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-06-15 · Grant · Acquired 1,980 · Balance 1,980 F2: Each deferred stock unit represents a contingent right to receive one share of the Issuer's common stock and will vest on the first anniversary of the grant date, provided that it will in any case be fully vested on the date of the Issuer's 2027 annual stockholder meeting. Each vested deferred stock unit will be paid out in the Issuer's common stock upon the earliest to occur of (i) a change in control of the Issuer and (ii) within 60 days following separation from service with the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares vest on the first anniversary of the grant date, provided that the option will in any case be fully vested on the date of the Issuer's 2027 annual stockholder meeting.
F2: Each deferred stock unit represents a contingent right to receive one share of the Issuer's common stock and will vest on the first anniversary of the grant date, provided that it will in any case be fully vested on the date of the Issuer's 2027 annual stockholder meeting. Each vested deferred stock unit will be paid out in the Issuer's common stock upon the earliest to occur of (i) a change in control of the Issuer and (ii) within 60 days following separation from service with the Issuer.
Passage BIO, Inc.
Report date March 03, 2020 · Filed March 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Frazier Life Sciences IX, L.P. | 5,009,219 |
Last balance in matching sequence
After 2020-03-03 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2020-03-03 · Conversion · Acquired 2,977,242 · Balance 2,977,242 F1: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020. F2: These securities are held of record by Frazier Life Sciences IX, L.P. ("Frazier Life Sciences"), of which FHMLS IX, L.P. ("FHMLS L.P.") is the general partner. FHMLS IX, L.L.C. ("FHMLS LLC") is the general partner of FHMLS L.P. The reporting person and James N. Topper are the managing members of FHMLS LLC and may be deemed to have shared voting and dispositive power over the shares held by Frazier Life Sciences. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 2 · 2020-03-03 · Conversion · Acquired 1,049,175 · Balance 4,026,417 F1: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020. F2: These securities are held of record by Frazier Life Sciences IX, L.P. ("Frazier Life Sciences"), of which FHMLS IX, L.P. ("FHMLS L.P.") is the general partner. FHMLS IX, L.L.C. ("FHMLS LLC") is the general partner of FHMLS L.P. The reporting person and James N. Topper are the managing members of FHMLS LLC and may be deemed to have shared voting and dispositive power over the shares held by Frazier Life Sciences. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 3 · 2020-03-03 · Conversion · Acquired 432,802 · Balance 4,459,219 F1: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020. F2: These securities are held of record by Frazier Life Sciences IX, L.P. ("Frazier Life Sciences"), of which FHMLS IX, L.P. ("FHMLS L.P.") is the general partner. FHMLS IX, L.L.C. ("FHMLS LLC") is the general partner of FHMLS L.P. The reporting person and James N. Topper are the managing members of FHMLS LLC and may be deemed to have shared voting and dispositive power over the shares held by Frazier Life Sciences. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 4 · 2020-03-03 · Purchase · Acquired 550,000 · Balance 5,009,219 F2: These securities are held of record by Frazier Life Sciences IX, L.P. ("Frazier Life Sciences"), of which FHMLS IX, L.P. ("FHMLS L.P.") is the general partner. FHMLS IX, L.L.C. ("FHMLS LLC") is the general partner of FHMLS L.P. The reporting person and James N. Topper are the managing members of FHMLS LLC and may be deemed to have shared voting and dispositive power over the shares held by Frazier Life Sciences. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series A-1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Frazier Life Sciences IX, L.P. | 0 |
Reported balance
After 2020-03-03 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-03-03 · Conversion · Disposed 2,977,242 · Balance 0 F1: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020. F2: These securities are held of record by Frazier Life Sciences IX, L.P. ("Frazier Life Sciences"), of which FHMLS IX, L.P. ("FHMLS L.P.") is the general partner. FHMLS IX, L.L.C. ("FHMLS LLC") is the general partner of FHMLS L.P. The reporting person and James N. Topper are the managing members of FHMLS LLC and may be deemed to have shared voting and dispositive power over the shares held by Frazier Life Sciences. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series A-2 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Frazier Life Sciences IX, L.P. | 0 |
Reported balance
After 2020-03-03 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-03-03 · Conversion · Disposed 1,049,175 · Balance 0 F1: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020. F2: These securities are held of record by Frazier Life Sciences IX, L.P. ("Frazier Life Sciences"), of which FHMLS IX, L.P. ("FHMLS L.P.") is the general partner. FHMLS IX, L.L.C. ("FHMLS LLC") is the general partner of FHMLS L.P. The reporting person and James N. Topper are the managing members of FHMLS LLC and may be deemed to have shared voting and dispositive power over the shares held by Frazier Life Sciences. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Frazier Life Sciences IX, L.P. | 0 |
Reported balance
After 2020-03-03 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-03-03 · Conversion · Disposed 432,802 · Balance 0 F1: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020. F2: These securities are held of record by Frazier Life Sciences IX, L.P. ("Frazier Life Sciences"), of which FHMLS IX, L.P. ("FHMLS L.P.") is the general partner. FHMLS IX, L.L.C. ("FHMLS LLC") is the general partner of FHMLS L.P. The reporting person and James N. Topper are the managing members of FHMLS LLC and may be deemed to have shared voting and dispositive power over the shares held by Frazier Life Sciences. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.
F2: These securities are held of record by Frazier Life Sciences IX, L.P. ("Frazier Life Sciences"), of which FHMLS IX, L.P. ("FHMLS L.P.") is the general partner. FHMLS IX, L.L.C. ("FHMLS LLC") is the general partner of FHMLS L.P. The reporting person and James N. Topper are the managing members of FHMLS LLC and may be deemed to have shared voting and dispositive power over the shares held by Frazier Life Sciences. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Phathom Pharmaceuticals, Inc.
Report date June 12, 2020 · Filed June 16, 2020
Jointly reported with Frazier Life Sciences IX, L.P., FHMLS IX, L.P., FHMLS IX, L.L.C., Topper James N
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,827,415 |
Reported balance
After 2020-06-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-06-12 · Other · Disposed 1,456,854 · Balance 5,827,415 F1: Represents a pro rata distribution in-kind by Frazier Life Sciences IX, L.P. ("FLS IX") to its limited partners for no consideration. F2: Represents shares held of record by FLS IX. The general partner of FLS IX is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, L.L.C. James Topper and Patrick Heron are the sole managing members of FHMLS IX, L.L.C. and share voting and investment power of the securities held by FLS IX. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1 |
Reported balance
Holding disclosure · report date 2020-06-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1 F3: Reflects shares of Common Stock received in the distribution in-kind described herein. F4: Represents shares held of record by FHMLS IX, L.L.C. James Topper and Patrick Heron are the sole managing members of FHMLS IX, L.L.C. and share voting and investment power of the securities held by FLS IX. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. These shares were previously held through FLS IX. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 12,596 |
Reported balance
Holding disclosure · report date 2020-06-12 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 12,596 F3: Reflects shares of Common Stock received in the distribution in-kind described herein. F5: Represents shares held directly by Dr. Topper. These shares were previously held through FLS IX. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,912 |
Reported balance
Holding disclosure · report date 2020-06-12 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 3,912 F3: Reflects shares of Common Stock received in the distribution in-kind described herein. F6: Represents shares held of record by Topper Group III LLC. Dr. Topper is a manager of Topper Group III LLC and has voting and investment power of the securities held by Topper Group III LLC. These shares were previously held through FLS IX. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 14,937 |
Reported balance
Holding disclosure · report date 2020-06-12 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 14,937 F3: Reflects shares of Common Stock received in the distribution in-kind described herein. F7: Represents shares held by The Heron Living Trust 11/30/2004. Mr. Heron is the co-trustee of The Heron Living Trust 11/30/2004 and has voting and investment power of the securities held by The Heron Living Trust 11/30/2004. These shares were previously held through FLS IX. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a pro rata distribution in-kind by Frazier Life Sciences IX, L.P. ("FLS IX") to its limited partners for no consideration.
F2: Represents shares held of record by FLS IX. The general partner of FLS IX is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, L.L.C. James Topper and Patrick Heron are the sole managing members of FHMLS IX, L.L.C. and share voting and investment power of the securities held by FLS IX. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.
F3: Reflects shares of Common Stock received in the distribution in-kind described herein.
F4: Represents shares held of record by FHMLS IX, L.L.C. James Topper and Patrick Heron are the sole managing members of FHMLS IX, L.L.C. and share voting and investment power of the securities held by FLS IX. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. These shares were previously held through FLS IX.
F5: Represents shares held directly by Dr. Topper. These shares were previously held through FLS IX.
F6: Represents shares held of record by Topper Group III LLC. Dr. Topper is a manager of Topper Group III LLC and has voting and investment power of the securities held by Topper Group III LLC. These shares were previously held through FLS IX.
F7: Represents shares held by The Heron Living Trust 11/30/2004. Mr. Heron is the co-trustee of The Heron Living Trust 11/30/2004 and has voting and investment power of the securities held by The Heron Living Trust 11/30/2004. These shares were previously held through FLS IX.
Sierra Oncology, Inc.
Report date February 14, 2017 · Filed February 24, 2017
Jointly reported with Frazier Healthcare VI, L.P., FHM VI, L.P., FHM VI, L.L.C., Frazier Life Sciences VIII, L.P., FHM LIFE SCIENCES VIII, L.P., FHM LIFE SCIENCES VIII, L.L.C., FRAZIER ALAN D, Naini Nader J, Every Nathan R
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,186,195 |
Reported balance
Holding disclosure · report date 2017-02-14 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,186,195 F1: Represents shares held by Frazier Healthcare VI, L.P., an affiliate of Frazier Healthcare Partners. Each of the Reporting Persons disclaims beneficial ownership of the shares except to the extent of their pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | Direct | 5,925,926 |
Reported balance
Holding disclosure · report date 2017-02-14 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 5,925,926 F2: Represents shares held by Frazier Life Sciences VIII, L.P., an affiliate of Frazier Healthcare Partners. Each of the Reporting Persons disclaims beneficial ownership of the shares except to the extent of their pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares held by Frazier Healthcare VI, L.P., an affiliate of Frazier Healthcare Partners. Each of the Reporting Persons disclaims beneficial ownership of the shares except to the extent of their pecuniary interest therein, if any.
F2: Represents shares held by Frazier Life Sciences VIII, L.P., an affiliate of Frazier Healthcare Partners. Each of the Reporting Persons disclaims beneficial ownership of the shares except to the extent of their pecuniary interest therein, if any.
Vaxcyte, Inc.
Report date June 02, 2021 · Filed June 03, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $21.49 · Expires 2031-06-01 | Direct | 15,000 |
Reported balance
After 2021-06-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-06-02 · Grant · Disposed 15,000 · Balance 15,000 F1: The shares subject to the option will vest monthly and fully vest on the earlier of June 2, 2022 or the day prior to the next annual meeting of stockholders, subject to the Reporting Person's continuous service through such date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option will vest monthly and fully vest on the earlier of June 2, 2022 or the day prior to the next annual meeting of stockholders, subject to the Reporting Person's continuous service through such date.
Past disclosures · reporting ended (6)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ANAPTYSBIO, INC
Report date May 11, 2018 · Filed May 15, 2018
Jointly reported with Frazier Healthcare VII, L.P., Frazier Healthcare VII-A, L.P., FHM VII, L.P., FHM VII, L.L.C., FRAZIER ALAN D, Naini Nader J, Every Nathan R
Section 16 reporting ended · disclosed 2018-05-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 973,612 |
Reported balance
After 2018-05-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-05-11 · Other · Disposed 1,372,000 · Balance 973,612 F1: Effective May 11, 2018, Frazier Healthcare V, L.P., distributed in-kind, without consideration, a total of 1,372,000 shares of Common Stock of the Issuer to its general and limited partners. The remaining securities are held by Frazier Healthcare V, L.P. Each of the Reporting Persons disclaims beneficial ownership of the shares except to the extent of their pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: Effective May 11, 2018, Frazier Healthcare V, L.P., distributed in-kind, without consideration, a total of 1,372,000 shares of Common Stock of the Issuer to its general and limited partners. The remaining securities are held by Frazier Healthcare V, L.P. Each of the Reporting Persons disclaims beneficial ownership of the shares except to the extent of their pecuniary interest therein, if any.
Aptinyx Inc.
Report date June 25, 2018 · Filed June 26, 2018
Jointly reported with Frazier Life Sciences VIII, L.P., FHM LIFE SCIENCES VIII, L.P., FHM LIFE SCIENCES VIII, L.L.C.
Section 16 reporting ended · disclosed 2018-06-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,190,079 |
Last balance in matching sequence
After 2018-06-25 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2018-06-25 · Conversion · Acquired 1,047,450 · Balance 1,047,450 F1: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date. F2: The shares are held directly by Frazier Life Sciences VIII, L.P. ("FLS-VIII") and this report is filed jointly by Frazier Life Sciences VIII, L.P. ("FLS-VIII L.P."), FHM Life Sciences VIII, L.P. (FHM-VIII L.P."), FHM Life Sciences VIII, L.L.C. ("FHM-VIII LLC") and Patrick J. Heron. Shares are held directly by FLS-VIII. FHM-VIII L.P. serves as the sole general partner of FLS-VIII and owns no shares directly. FHM-VIII LLC serves as the sole general partner of FHM-VIII L.P. and owns no shares directly. Mr. Heron and James Topper are members of FHM-VIII LLC and share voting and dispositive power over the shares held by FLS-VIII; however, they disclaim beneficial ownership of the shares held by FLS-VIII except to the extent of their pecuniary interests therein. Row 2 · 2018-06-25 · Conversion · Acquired 1,197,076 · Balance 2,244,526 F1: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date. F2: The shares are held directly by Frazier Life Sciences VIII, L.P. ("FLS-VIII") and this report is filed jointly by Frazier Life Sciences VIII, L.P. ("FLS-VIII L.P."), FHM Life Sciences VIII, L.P. (FHM-VIII L.P."), FHM Life Sciences VIII, L.L.C. ("FHM-VIII LLC") and Patrick J. Heron. Shares are held directly by FLS-VIII. FHM-VIII L.P. serves as the sole general partner of FLS-VIII and owns no shares directly. FHM-VIII LLC serves as the sole general partner of FHM-VIII L.P. and owns no shares directly. Mr. Heron and James Topper are members of FHM-VIII LLC and share voting and dispositive power over the shares held by FLS-VIII; however, they disclaim beneficial ownership of the shares held by FLS-VIII except to the extent of their pecuniary interests therein. Row 3 · 2018-06-25 · Conversion · Acquired 795,553 · Balance 3,040,079 F1: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date. F2: The shares are held directly by Frazier Life Sciences VIII, L.P. ("FLS-VIII") and this report is filed jointly by Frazier Life Sciences VIII, L.P. ("FLS-VIII L.P."), FHM Life Sciences VIII, L.P. (FHM-VIII L.P."), FHM Life Sciences VIII, L.L.C. ("FHM-VIII LLC") and Patrick J. Heron. Shares are held directly by FLS-VIII. FHM-VIII L.P. serves as the sole general partner of FLS-VIII and owns no shares directly. FHM-VIII LLC serves as the sole general partner of FHM-VIII L.P. and owns no shares directly. Mr. Heron and James Topper are members of FHM-VIII LLC and share voting and dispositive power over the shares held by FLS-VIII; however, they disclaim beneficial ownership of the shares held by FLS-VIII except to the extent of their pecuniary interests therein. Row 4 · 2018-06-25 · Purchase · Acquired 150,000 · Balance 3,190,079 F3: On June 25, 2018, FLS-VIII purchased 150,000 shares of common stock of the Issuer at a price of $16.00 per share pursuant to an underwritten public offering. F2: The shares are held directly by Frazier Life Sciences VIII, L.P. ("FLS-VIII") and this report is filed jointly by Frazier Life Sciences VIII, L.P. ("FLS-VIII L.P."), FHM Life Sciences VIII, L.P. (FHM-VIII L.P."), FHM Life Sciences VIII, L.L.C. ("FHM-VIII LLC") and Patrick J. Heron. Shares are held directly by FLS-VIII. FHM-VIII L.P. serves as the sole general partner of FLS-VIII and owns no shares directly. FHM-VIII LLC serves as the sole general partner of FHM-VIII L.P. and owns no shares directly. Mr. Heron and James Topper are members of FHM-VIII LLC and share voting and dispositive power over the shares held by FLS-VIII; however, they disclaim beneficial ownership of the shares held by FLS-VIII except to the extent of their pecuniary interests therein. |
| Series A-1 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2018-06-25 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-06-25 · Conversion · Disposed 28,895,188 · Balance 0 F1: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date. F2: The shares are held directly by Frazier Life Sciences VIII, L.P. ("FLS-VIII") and this report is filed jointly by Frazier Life Sciences VIII, L.P. ("FLS-VIII L.P."), FHM Life Sciences VIII, L.P. (FHM-VIII L.P."), FHM Life Sciences VIII, L.L.C. ("FHM-VIII LLC") and Patrick J. Heron. Shares are held directly by FLS-VIII. FHM-VIII L.P. serves as the sole general partner of FLS-VIII and owns no shares directly. FHM-VIII LLC serves as the sole general partner of FHM-VIII L.P. and owns no shares directly. Mr. Heron and James Topper are members of FHM-VIII LLC and share voting and dispositive power over the shares held by FLS-VIII; however, they disclaim beneficial ownership of the shares held by FLS-VIII except to the extent of their pecuniary interests therein. |
| Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2018-06-25 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-06-25 · Conversion · Disposed 33,022,786 · Balance 0 F1: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date. F2: The shares are held directly by Frazier Life Sciences VIII, L.P. ("FLS-VIII") and this report is filed jointly by Frazier Life Sciences VIII, L.P. ("FLS-VIII L.P."), FHM Life Sciences VIII, L.P. (FHM-VIII L.P."), FHM Life Sciences VIII, L.L.C. ("FHM-VIII LLC") and Patrick J. Heron. Shares are held directly by FLS-VIII. FHM-VIII L.P. serves as the sole general partner of FLS-VIII and owns no shares directly. FHM-VIII LLC serves as the sole general partner of FHM-VIII L.P. and owns no shares directly. Mr. Heron and James Topper are members of FHM-VIII LLC and share voting and dispositive power over the shares held by FLS-VIII; however, they disclaim beneficial ownership of the shares held by FLS-VIII except to the extent of their pecuniary interests therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2018-06-25 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-06-25 · Conversion · Disposed 21,946,301 · Balance 0 F1: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date. F2: The shares are held directly by Frazier Life Sciences VIII, L.P. ("FLS-VIII") and this report is filed jointly by Frazier Life Sciences VIII, L.P. ("FLS-VIII L.P."), FHM Life Sciences VIII, L.P. (FHM-VIII L.P."), FHM Life Sciences VIII, L.L.C. ("FHM-VIII LLC") and Patrick J. Heron. Shares are held directly by FLS-VIII. FHM-VIII L.P. serves as the sole general partner of FLS-VIII and owns no shares directly. FHM-VIII LLC serves as the sole general partner of FHM-VIII L.P. and owns no shares directly. Mr. Heron and James Topper are members of FHM-VIII LLC and share voting and dispositive power over the shares held by FLS-VIII; however, they disclaim beneficial ownership of the shares held by FLS-VIII except to the extent of their pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.
F2: The shares are held directly by Frazier Life Sciences VIII, L.P. ("FLS-VIII") and this report is filed jointly by Frazier Life Sciences VIII, L.P. ("FLS-VIII L.P."), FHM Life Sciences VIII, L.P. (FHM-VIII L.P."), FHM Life Sciences VIII, L.L.C. ("FHM-VIII LLC") and Patrick J. Heron. Shares are held directly by FLS-VIII. FHM-VIII L.P. serves as the sole general partner of FLS-VIII and owns no shares directly. FHM-VIII LLC serves as the sole general partner of FHM-VIII L.P. and owns no shares directly. Mr. Heron and James Topper are members of FHM-VIII LLC and share voting and dispositive power over the shares held by FLS-VIII; however, they disclaim beneficial ownership of the shares held by FLS-VIII except to the extent of their pecuniary interests therein.
F3: On June 25, 2018, FLS-VIII purchased 150,000 shares of common stock of the Issuer at a price of $16.00 per share pursuant to an underwritten public offering.
Entasis Therapeutics Holdings Inc.
Report date January 09, 2020 · Filed January 13, 2020
Jointly reported with Frazier Life Sciences VIII, L.P., Topper James N, FHM LIFE SCIENCES VIII, L.P., FHM LIFE SCIENCES VIII, L.L.C.
Section 16 reporting ended · disclosed 2020-01-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,299,953 |
Reported balance
After 2020-01-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-01-09 · Sale · Disposed 50,000 · Balance 1,299,953 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.07, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 1 to this Form 4 F2: The reportable securities are held directly by Frazier Life Sciences VIII, L.P. ("FLS LP"). FHM Life Sciences VIII, L.P. ("FHM LP") is the general partner of FLS LP. FHM Life Sciences VIII, L.L.C. ("FHM LLC") is the general partner of FHM LP. James Topper and Patrick Heron are the sole managing members of FHM LLC. Mr. Heron, Mr. Topper, FHM LP and FHM LLC disclaims beneficial ownership of the securities held by FLS LP except, to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.07, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 1 to this Form 4
F2: The reportable securities are held directly by Frazier Life Sciences VIII, L.P. ("FLS LP"). FHM Life Sciences VIII, L.P. ("FHM LP") is the general partner of FLS LP. FHM Life Sciences VIII, L.L.C. ("FHM LLC") is the general partner of FHM LP. James Topper and Patrick Heron are the sole managing members of FHM LLC. Mr. Heron, Mr. Topper, FHM LP and FHM LLC disclaims beneficial ownership of the securities held by FLS LP except, to the extent of his or its pecuniary interest therein, if any.
HilleVax, Inc.
Report date September 17, 2025 · Filed September 17, 2025
Jointly reported with Frazier Life Sciences X, L.P., FHMLS X, L.P., FHMLS X, L.L.C., Topper James N
Section 16 reporting ended · disclosed 2025-09-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Frazier Life Sciences X, L.P. | 0 |
Reported balance
After 2025-09-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-09-17 · Other · Disposed 8,535,337 · Balance 0 F1: Reflects disposition of the Issuer's equity securities upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 4, 2025, by and among Issuer, XOMA Royalty Corporation ("Parent") and XRA 4 Corp., a wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger (the "Merger") between Issuer and Merger Sub on September 17, 2025. Pursuant to the Merger Agreement, as of the effective time of the Merger (the "Effective Time"), each share of the Issuer's Common Stock, par value $0.0001 per share ("Shares"), issued and outstanding immediately prior to the Effective Time was converted automatically into the right to receive (i) $1.95 in cash, without interest plus (ii) one non-transferable contractual contingent value right per Share. F2: The shares are held directly by Frazier Life Sciences X, L.P. FHMLS X,, L.P. is the general partner of Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. James N. Topper and Patrick J. Heron are the sole managing members of FHMLS X, L.L.C. and share voting and investment power over the shares held by Frazier Life Sciences X, L.P. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Patrick J. Heron | 0 |
Reported balance
After 2025-09-17 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2025-09-17 · Other · Disposed 17,199 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding restricted stock unit ("RSU") immediately vested in full and was canceled in exchange for the right receive (a) an amount in cash, without interest, equal to the product obtained by multiplying (x) the $1.95 by (y) the number of shares underlying such RSU at the Effective Time and (b) one CVR for each share underlying such RSU. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects disposition of the Issuer's equity securities upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 4, 2025, by and among Issuer, XOMA Royalty Corporation ("Parent") and XRA 4 Corp., a wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger (the "Merger") between Issuer and Merger Sub on September 17, 2025. Pursuant to the Merger Agreement, as of the effective time of the Merger (the "Effective Time"), each share of the Issuer's Common Stock, par value $0.0001 per share ("Shares"), issued and outstanding immediately prior to the Effective Time was converted automatically into the right to receive (i) $1.95 in cash, without interest plus (ii) one non-transferable contractual contingent value right per Share.
F2: The shares are held directly by Frazier Life Sciences X, L.P. FHMLS X,, L.P. is the general partner of Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. James N. Topper and Patrick J. Heron are the sole managing members of FHMLS X, L.L.C. and share voting and investment power over the shares held by Frazier Life Sciences X, L.P. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.
F3: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding restricted stock unit ("RSU") immediately vested in full and was canceled in exchange for the right receive (a) an amount in cash, without interest, equal to the product obtained by multiplying (x) the $1.95 by (y) the number of shares underlying such RSU at the Effective Time and (b) one CVR for each share underlying such RSU.
Tarsus Pharmaceuticals, Inc.
Report date October 20, 2020 · Filed October 21, 2020
Jointly reported with Frazier Life Sciences IX, L.P., FHMLS IX, L.P., FHMLS IX, L.L.C., Topper James N
Section 16 reporting ended · disclosed 2020-10-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,917,157 |
Last balance in matching sequence
After 2020-10-20 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2020-10-20 · Conversion · Acquired 1,390,376 · Balance 1,390,376 F1: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F2: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein. Row 2 · 2020-10-20 · Conversion · Acquired 214,281 · Balance 1,604,657 F1: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F2: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein. Row 3 · 2020-10-20 · Purchase · Acquired 312,500 · Balance 1,917,157 F2: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-10-20 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-10-20 · Conversion · Disposed 1,390,376 · Balance 0 F1: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F2: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein. |
| Series C Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-10-20 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-10-20 · Conversion · Disposed 214,281 · Balance 0 F1: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F2: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date.
F2: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein.
Tobira Therapeutics, Inc.
Report date November 01, 2016 · Filed November 03, 2016
Section 16 reporting ended · disclosed 2016-11-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.96 · Expires 2019-06-23 | Direct | 0 |
Reported balance
After 2016-11-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2016-11-01 · Disposition to issuer · Disposed 4,332 · Balance 0 F1: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated September 19, 2016, by and among the Issuer, Allergan Holdco US, Inc. ("Parent") and Sapphire Acquisition Corp. ("Purchaser"), pursuant to which Purchaser was merged with and into Issuer (the "Merger"), each option to purchase shares (a "Company Option") of common stock, par value $0.001 per share, of Tobira Therapeutics, Inc. (the "Shares") that was then outstanding and unexercised, whether or not vested and which had a per-Share exercise price less than $28.35 per Share in cash (the "Closing Amount") (each, an "In the Money Option"), was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the effective time of the Merger (the "Effective Time") F2: (continued from Footnote 1) and (ii) a contingent value right with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. At the Effective Time, each Company Option other than an In the Money Option that was then outstanding and unexercised, whether or not vested (each, an "Out of the Money Option"), was cancelled and converted into the right to receive a cash payment, if any, from Parent with respect to each Share subject to such Out of the Money Option upon each date that a payment would be required to a holder of a contingent value right under the terms of the Contingent Value Rights Agreement ("CVR Agreement") on or prior to the fifth anniversary of the Effective Time (each such date, a "Valuation Point"), F3: (continued from Footnote 1) equal to (i) the amount by which the sum of (A) the Closing Amount, (B) the amount per Share previously paid in respect of any earlier Valuation Points and (C) the amount per Share in cash to be paid at such Valuation Point under the CVR Agreement exceeds the exercise price payable per Share under such Out of the Money Option, less (ii) the amount of all payments previously received with respect to such Out of the Money Option. Notwithstanding the foregoing description, any Out of the Money Options with an exercise price payable per Share equal to or greater than $78.19 were cancelled at the Effective Time without any consideration payable therefor. F4: The Shares subject to this option were fully vested immediately prior to the Effective Time. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.52 · Expires 2025-07-08 | Direct | 0 |
Reported balance
After 2016-11-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2016-11-01 · Disposition to issuer · Disposed 15,500 · Balance 0 F1: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated September 19, 2016, by and among the Issuer, Allergan Holdco US, Inc. ("Parent") and Sapphire Acquisition Corp. ("Purchaser"), pursuant to which Purchaser was merged with and into Issuer (the "Merger"), each option to purchase shares (a "Company Option") of common stock, par value $0.001 per share, of Tobira Therapeutics, Inc. (the "Shares") that was then outstanding and unexercised, whether or not vested and which had a per-Share exercise price less than $28.35 per Share in cash (the "Closing Amount") (each, an "In the Money Option"), was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the effective time of the Merger (the "Effective Time") F2: (continued from Footnote 1) and (ii) a contingent value right with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. At the Effective Time, each Company Option other than an In the Money Option that was then outstanding and unexercised, whether or not vested (each, an "Out of the Money Option"), was cancelled and converted into the right to receive a cash payment, if any, from Parent with respect to each Share subject to such Out of the Money Option upon each date that a payment would be required to a holder of a contingent value right under the terms of the Contingent Value Rights Agreement ("CVR Agreement") on or prior to the fifth anniversary of the Effective Time (each such date, a "Valuation Point"), F3: (continued from Footnote 1) equal to (i) the amount by which the sum of (A) the Closing Amount, (B) the amount per Share previously paid in respect of any earlier Valuation Points and (C) the amount per Share in cash to be paid at such Valuation Point under the CVR Agreement exceeds the exercise price payable per Share under such Out of the Money Option, less (ii) the amount of all payments previously received with respect to such Out of the Money Option. Notwithstanding the foregoing description, any Out of the Money Options with an exercise price payable per Share equal to or greater than $78.19 were cancelled at the Effective Time without any consideration payable therefor. F4: The Shares subject to this option were fully vested immediately prior to the Effective Time. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.91 · Expires 2026-01-12 | Direct | 0 |
Reported balance
After 2016-11-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2016-11-01 · Disposition to issuer · Disposed 17,778 · Balance 0 F1: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated September 19, 2016, by and among the Issuer, Allergan Holdco US, Inc. ("Parent") and Sapphire Acquisition Corp. ("Purchaser"), pursuant to which Purchaser was merged with and into Issuer (the "Merger"), each option to purchase shares (a "Company Option") of common stock, par value $0.001 per share, of Tobira Therapeutics, Inc. (the "Shares") that was then outstanding and unexercised, whether or not vested and which had a per-Share exercise price less than $28.35 per Share in cash (the "Closing Amount") (each, an "In the Money Option"), was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the effective time of the Merger (the "Effective Time") F2: (continued from Footnote 1) and (ii) a contingent value right with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. At the Effective Time, each Company Option other than an In the Money Option that was then outstanding and unexercised, whether or not vested (each, an "Out of the Money Option"), was cancelled and converted into the right to receive a cash payment, if any, from Parent with respect to each Share subject to such Out of the Money Option upon each date that a payment would be required to a holder of a contingent value right under the terms of the Contingent Value Rights Agreement ("CVR Agreement") on or prior to the fifth anniversary of the Effective Time (each such date, a "Valuation Point"), F3: (continued from Footnote 1) equal to (i) the amount by which the sum of (A) the Closing Amount, (B) the amount per Share previously paid in respect of any earlier Valuation Points and (C) the amount per Share in cash to be paid at such Valuation Point under the CVR Agreement exceeds the exercise price payable per Share under such Out of the Money Option, less (ii) the amount of all payments previously received with respect to such Out of the Money Option. Notwithstanding the foregoing description, any Out of the Money Options with an exercise price payable per Share equal to or greater than $78.19 were cancelled at the Effective Time without any consideration payable therefor. F4: The Shares subject to this option were fully vested immediately prior to the Effective Time. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated September 19, 2016, by and among the Issuer, Allergan Holdco US, Inc. ("Parent") and Sapphire Acquisition Corp. ("Purchaser"), pursuant to which Purchaser was merged with and into Issuer (the "Merger"), each option to purchase shares (a "Company Option") of common stock, par value $0.001 per share, of Tobira Therapeutics, Inc. (the "Shares") that was then outstanding and unexercised, whether or not vested and which had a per-Share exercise price less than $28.35 per Share in cash (the "Closing Amount") (each, an "In the Money Option"), was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the effective time of the Merger (the "Effective Time")
F2: (continued from Footnote 1) and (ii) a contingent value right with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. At the Effective Time, each Company Option other than an In the Money Option that was then outstanding and unexercised, whether or not vested (each, an "Out of the Money Option"), was cancelled and converted into the right to receive a cash payment, if any, from Parent with respect to each Share subject to such Out of the Money Option upon each date that a payment would be required to a holder of a contingent value right under the terms of the Contingent Value Rights Agreement ("CVR Agreement") on or prior to the fifth anniversary of the Effective Time (each such date, a "Valuation Point"),
F3: (continued from Footnote 1) equal to (i) the amount by which the sum of (A) the Closing Amount, (B) the amount per Share previously paid in respect of any earlier Valuation Points and (C) the amount per Share in cash to be paid at such Valuation Point under the CVR Agreement exceeds the exercise price payable per Share under such Out of the Money Option, less (ii) the amount of all payments previously received with respect to such Out of the Money Option. Notwithstanding the foregoing description, any Out of the Money Options with an exercise price payable per Share equal to or greater than $78.19 were cancelled at the Effective Time without any consideration payable therefor.
F4: The Shares subject to this option were fully vested immediately prior to the Effective Time.
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 |
|---|---|---|---|---|---|---|
| March 04, 2024 Filed Mar 6, 2024 21:28 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | PurchaseCommon Stock | 21,052 | $9.50 | $199,994.00 |
DisclosureSEC source: 0001415889-24-007040 · form4-03062024_090313.xml · nonDerivative · entry 1 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Frazier Life Sciences VIII, L.P. Disclosed balance after: 8,785,284 F1 · ownership.nature: The shares are held directly by Frazier Life Sciences VIII, L.P. FHM Life Sciences VIII, L.P. is the general partner of Frazier Life Sciences VIII, L.P. and FHM Life Sciences VIII, L.L.C. is the general partner of FHM Life Sciences VIII, L.P. James N. Topper and the Reporting Person are the sole managing members of FHM Life Sciences VIII, L.L.C. and share voting and investment power over the shares held by Frazier Life Sciences VIII, L.P. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document |
| November 09, 2023 Filed Nov 14, 2023 21:35 UTC | Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 | PurchaseCommon Stock | 2,910 | $28.30 | $82,353.00 |
DisclosureSEC source: 0001209191-23-055180 · doc4.xml · nonDerivative · entry 1 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Frazier Life Sciences X, L.P. Disclosed balance after: 161,963 F1 · ownership.nature: The shares are held directly by Frazier Life Sciences X, L.P. FHMLS X, L.P. is the general partner of Frazier Life Sciences X, L.P. FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. The Reporting Person and James N. Topper are the managing members of FHMLS X, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences X, L.P. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein. Read SEC document |
| October 24, 2023 Filed Oct 26, 2023 20:09 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | PurchaseCommon Stock | 80,000 | $2.50 | $200,000.00 |
DisclosureSEC source: 0001209191-23-053662 · doc4.xml · nonDerivative · entry 1 Frazier Life Sciences VIII, L.P. · CIK 0001655827 · 10% owner FHM LIFE SCIENCES VIII, L.P. · CIK 0001698755 · 10% owner FHM LIFE SCIENCES VIII, L.L.C. · CIK 0001698823 · 10% owner Topper James N · CIK 0001341382 · 10% owner Heron Patrick J · CIK 0001365617 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,764,232 Read SEC document |
| September 13, 2023 Filed Sep 15, 2023 20:56 UTC | Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 | PurchaseCommon Stock | 2,625 | $31.02 | $81,424.88 |
DisclosureSEC source: 0001209191-23-049614 · doc4.xml · nonDerivative · entry 1 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Frazier Life Sciences X, L.P. Disclosed balance after: 159,053 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $30.9633 to $31.0499, inclusive. The Reporting Person undertakes to provide to 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 footnote (1) to this Form 4. F2 · ownership.nature: The shares are held directly by Frazier Life Sciences X, L.P. FHMLS X, L.P. is the general partner of Frazier Life Sciences X, L.P. FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. The Reporting Person and James N. Topper are the managing members of FHMLS X, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences X, L.P. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein. Read SEC document |
| September 12, 2023 Filed Sep 13, 2023 20:39 UTC | Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 | PurchaseCommon Stock | 3,750 | $30.60 | $114,763.88 |
DisclosureSEC source: 0001209191-23-049292 · doc4.xml · nonDerivative · entry 2 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Frazier Life Sciences X, L.P. Disclosed balance after: 156,428 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $30.2781 to $30.7970, inclusive. F2 · ownership.nature: The shares are held directly by Frazier Life Sciences X, L.P. FHMLS X, L.P. is the general partner of Frazier Life Sciences X, L.P. FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. The Reporting Person and James N. Topper are the managing members of FHMLS X, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences X, L.P. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein. Read SEC document |
| September 11, 2023 Filed Sep 13, 2023 20:39 UTC | Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 | PurchaseCommon Stock | 4,687 | $30.30 | $142,027.35 |
DisclosureSEC source: 0001209191-23-049292 · doc4.xml · nonDerivative · entry 1 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Frazier Life Sciences X, L.P. Disclosed balance after: 152,678 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $30.0968 to $30.4835, inclusive. The Reporting Person undertakes to provide to 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 ranges set forth in footnotes (1) and (3) to this Form 4. F2 · ownership.nature: The shares are held directly by Frazier Life Sciences X, L.P. FHMLS X, L.P. is the general partner of Frazier Life Sciences X, L.P. FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. The Reporting Person and James N. Topper are the managing members of FHMLS X, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences X, L.P. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein. Read SEC document |
| August 31, 2023 Filed Sep 5, 2023 16:51 UTC | Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 | PurchaseCommon Stock | 147,991 | $26.25 | $3,884,763.75 |
DisclosureSEC source: 0001209191-23-048086 · doc4.xml · nonDerivative · entry 2 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Frazier Life Sciences X, L.P. Disclosed balance after: 147,991 F2 · ownership.nature: The shares are held directly by Frazier Life Sciences X, L.P. FHMLS X, L.P. is the general partner of Frazier Life Sciences X, L.P. FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. The Reporting Person and James N. Topper are the managing members of FHMLS X, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences X, L.P. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 21:38 UTC | Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 | GrantStock Option (right to buy) · Derivative | 17,000 | $0.00 Strike: $28.97 | $0.00 |
DisclosureSEC source: 0001209191-23-037123 · doc4.xml · derivative · entry 1 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,000 Underlying: Common Stock · 17,000 shares Expires 2033-06-11 F1 · derivative.exercise_date: The shares vest on the first anniversary of the grant date, provided that the option will in any case be fully vested on the date of the Company's 2024 annual stockholder meeting. Read SEC document |
| June 07, 2023 Filed Jun 9, 2023 22:33 UTC | HilleVax, Inc. HLVX · Entity 75097 | GrantStock Option · Derivative | 22,500 | $0.00 Strike: $17.94 | $0.00 |
DisclosureSEC source: 0000899243-23-015277 · doc4.xml · derivative · entry 1 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,500 Underlying: Common Stock · 22,500 shares Expires 2033-06-06 F1 · derivative.exercise_date: The option was granted pursuant to the Registrant's non-employee director compensation program. The option shall vest and/or become exercisable on the first to occur of (i) the first anniversary of the grant date or (ii) the next occurring annual meeting of our stockholders, in each case, subject to the non-employee director continuing in service on our board of directors through such vesting dates. Read SEC document |
| May 31, 2023 Filed Jun 2, 2023 23:16 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | GrantStock Option (right to buy) · Derivative | 12,220 | $0.00 Strike: $7.51 | $0.00 |
DisclosureSEC source: 0001787306-23-000062 · wk-form4_1685747781.xml · derivative · entry 2 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,220 Underlying: Common Stock · 12,220 shares Expires 2033-05-31 F2 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% on the first anniversary of May 31, 2023. Read SEC document |
| May 31, 2023 Filed Jun 2, 2023 23:16 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | GrantCommon Stock | 4,375 | $0.00 | $0.00 |
DisclosureSEC source: 0001787306-23-000062 · wk-form4_1685747781.xml · nonDerivative · entry 1 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,687 F1 · balance_after: Includes 4,375 Restricted Stock Units (?RSUs?). The Reporting Person is entitled to receive one (1) share of common stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| August 19, 2022 Filed Aug 23, 2022 20:35 UTC | HilleVax, Inc. HLVX · Entity 75097 | GrantStock Option · Derivative | 25,000 | $0.00 Strike: $12.38 | $0.00 |
DisclosureSEC source: 0000899243-22-029526 · doc4.xml · derivative · entry 1 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2032-08-18 F1 · derivative.exercise_date: The options shall vest on the first anniversary of the date of grant, subject to reporting person's continuing in service on the registrant's board of directors through such vesting date. Read SEC document |
| August 05, 2022 Filed Aug 9, 2022 20:34 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | PurchaseCommon Stock | 250,000 | $20.00 | $5,000,000.00 |
DisclosureSEC source: 0001209191-22-045014 · doc4.xml · nonDerivative · entry 1 Frazier Life Sciences VIII, L.P. · CIK 0001655827 · 10% owner FHM LIFE SCIENCES VIII, L.P. · CIK 0001698755 · 10% owner FHM LIFE SCIENCES VIII, L.L.C. · CIK 0001698823 · 10% owner Topper James N · CIK 0001341382 · 10% owner Heron Patrick J · CIK 0001365617 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,684,232 Read SEC document |
| June 02, 2022 Filed Jun 6, 2022 21:57 UTC | Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 | GrantStock Option (right to buy) · Derivative | 17,000 | $0.00 Strike: $23.51 | $0.00 |
DisclosureSEC source: 0001209191-22-034630 · doc4.xml · derivative · entry 1 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,000 Underlying: Common Stock · 17,000 shares Expires 2032-06-01 F1 · derivative.exercise_date: The shares vest on the first anniversary of the grant date, provided that the option will in any case be fully vested on the date of the Company's 2023 annual stockholder meeting. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 20:53 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | GrantStock Option (Right to Buy) · Derivative | 11,796 | $0.00 Strike: $20.29 | $0.00 |
DisclosureSEC source: 0001567619-22-012314 · doc1.xml · derivative · entry 2 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,796 Underlying: Common Stock · 11,796 shares Expires 2032-06-01 F2 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% on the first anniversary of June 1, 2022. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 20:53 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | GrantCommon Stock | 4,312 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-012314 · doc1.xml · nonDerivative · entry 1 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,312 F1 · balance_after: Includes 4,312 Restricted Stock Units ("RSUs"). The Reporting Person is entitled to receive one (1) share of common stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| May 03, 2022 Filed May 3, 2022 20:23 UTC | HilleVax, Inc. HLVX · Entity 75097 | ConversionConvertible Promissory Notes · Derivative | 37,212,795.83 | Not disclosed Strike: $13.60 | Not disclosed |
DisclosureSEC source: 0000899243-22-016310 · doc4.xml · derivative · entry 3 Frazier Life Sciences X, L.P. · CIK 0001790879 · 10% owner FHMLS X, L.P. · CIK 0001790880 · 10% owner FHMLS X, L.L.C. · CIK 0001790811 · 10% owner Topper James N · CIK 0001341382 · 10% owner Heron Patrick J · CIK 0001365617 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,736,234 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: The outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock immediately prior to the closing of the initial public offering at a conversion price of $13.60 per share. F2 · derivative.exercise_date: The outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock immediately prior to the closing of the initial public offering at a conversion price of $13.60 per share. F2 · derivative.expiration_date: The outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock immediately prior to the closing of the initial public offering at a conversion price of $13.60 per share. F2 · derivative.underlying_shares: The outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock immediately prior to the closing of the initial public offering at a conversion price of $13.60 per share. F1 · ownership.direct: The securities are held directly by Frazer Life Sciences X, L.P. ("FLS X"). The general partner of FLS X is FHMLS X, L.P., and the general partner of FHMLS X, L.P. is FHMLS X, L.L.C. James Topper, M.D., Ph.D., and Patrick Heron are the sole managing members of FHMLS X, L.L.C. and share voting and investment power of the securities held by FLS X. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. Read SEC document |
| May 03, 2022 Filed May 3, 2022 20:23 UTC | HilleVax, Inc. HLVX · Entity 75097 | PurchaseCommon Stock | 1,764,706 | $17.00 | $30,000,002.00 |
DisclosureSEC source: 0000899243-22-016310 · doc4.xml · nonDerivative · entry 2 Frazier Life Sciences X, L.P. · CIK 0001790879 · 10% owner FHMLS X, L.P. · CIK 0001790880 · 10% owner FHMLS X, L.L.C. · CIK 0001790811 · 10% owner Topper James N · CIK 0001341382 · 10% owner Heron Patrick J · CIK 0001365617 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,535,337 F1 · ownership.direct: The securities are held directly by Frazer Life Sciences X, L.P. ("FLS X"). The general partner of FLS X is FHMLS X, L.P., and the general partner of FHMLS X, L.P. is FHMLS X, L.L.C. James Topper, M.D., Ph.D., and Patrick Heron are the sole managing members of FHMLS X, L.L.C. and share voting and investment power of the securities held by FLS X. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. Read SEC document |
| May 03, 2022 Filed May 3, 2022 20:23 UTC | HilleVax, Inc. HLVX · Entity 75097 | ConversionCommon Stock | 2,736,234 | $13.60 | $37,212,782.40 |
DisclosureSEC source: 0000899243-22-016310 · doc4.xml · nonDerivative · entry 1 Frazier Life Sciences X, L.P. · CIK 0001790879 · 10% owner FHMLS X, L.P. · CIK 0001790880 · 10% owner FHMLS X, L.L.C. · CIK 0001790811 · 10% owner Topper James N · CIK 0001341382 · 10% owner Heron Patrick J · CIK 0001365617 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,770,631 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 · ownership.direct: The securities are held directly by Frazer Life Sciences X, L.P. ("FLS X"). The general partner of FLS X is FHMLS X, L.P., and the general partner of FHMLS X, L.P. is FHMLS X, L.L.C. James Topper, M.D., Ph.D., and Patrick Heron are the sole managing members of FHMLS X, L.L.C. and share voting and investment power of the securities held by FLS X. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. Read SEC document |
| February 11, 2022 Filed Feb 15, 2022 22:00 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | PurchaseCommon Stock | 112,665 | $7.10 | $799,989.10 |
DisclosureSEC source: 0001209191-22-009821 · doc4.xml · nonDerivative · entry 1 Frazier Life Sciences VIII, L.P. · CIK 0001655827 · 10% owner FHM LIFE SCIENCES VIII, L.P. · CIK 0001698755 · 10% owner FHM LIFE SCIENCES VIII, L.L.C. · CIK 0001698823 · 10% owner Heron Patrick J · CIK 0001365617 · 10% owner Topper James N · CIK 0001341382 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,484,115 F1 · ownership.direct: The reportable securities are held directly by Frazier Life Sciences VIII, L.P. ("FLS LP"). FHM Life Sciences VIII, L.P. ("FHM LP") is the general partner of FLS LP. FHM Life Sciences VIII, L.L.C. ("FHM LLC") is the general partner of FHM LP. James N. Topper and Patrick J. Heron are the sole managing members of FHM LLC. Mr. Topper, Mr. Heron, FHM LP and FHM LLC disclaims beneficial ownership of the securities held by FLS LP except, to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| September 17, 2021 Filed Sep 21, 2021 17:54 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | GrantWarrant (Right to Buy) · Derivative | 1,200,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-057010 · doc4.xml · derivative · entry 2 Frazier Life Sciences VIII, L.P. · CIK 0001655827 · 10% owner FHM LIFE SCIENCES VIII, L.L.C. · CIK 0001698823 · 10% owner Heron Patrick J · CIK 0001365617 · 10% owner Topper James N · CIK 0001341382 · Director · 10% owner FHM LIFE SCIENCES VIII, L.P. · CIK 0001698755 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200,000 Underlying: Common Stock · 1,200,000 shares Expires not disclosed F3 · derivative.exercise_date: The Pre-Funded Warrant has no expiration date and is exercisable immediately. Notwithstanding the foregoing, the Reporting Person shall not be entitled to exercise the Pre-Funded Warrant if it would cause (i) the aggregate number of shares of Common Stock beneficially owned by the Reporting Person, its affiliates and any persons who are members of a Section 13(d) group with the Reporting Person or its affiliates to exceed 9.99% (the "Maximum Percentage") of the total number of issued and outstanding shares of Common Stock of the Issuer following such exercise, or (ii) the combined voting power of the securities of the Issuer beneficially owned by the Reporting Person and its affiliates and any other persons who are members of a Section 13(d) group with the Reporting Person or its affiliates to exceed the Maximum Percentage of the combined voting power of all of the securities of the Issuer then outstanding following such exercise. F4 · derivative.exercise_date: The Maximum Percentage can be changed by the holder upon 61 days notice to the Issuer. F3 · derivative.expiration_date: The Pre-Funded Warrant has no expiration date and is exercisable immediately. Notwithstanding the foregoing, the Reporting Person shall not be entitled to exercise the Pre-Funded Warrant if it would cause (i) the aggregate number of shares of Common Stock beneficially owned by the Reporting Person, its affiliates and any persons who are members of a Section 13(d) group with the Reporting Person or its affiliates to exceed 9.99% (the "Maximum Percentage") of the total number of issued and outstanding shares of Common Stock of the Issuer following such exercise, or (ii) the combined voting power of the securities of the Issuer beneficially owned by the Reporting Person and its affiliates and any other persons who are members of a Section 13(d) group with the Reporting Person or its affiliates to exceed the Maximum Percentage of the combined voting power of all of the securities of the Issuer then outstanding following such exercise. F4 · derivative.expiration_date: The Maximum Percentage can be changed by the holder upon 61 days notice to the Issuer. F2 · ownership.direct: The reportable securities are held directly by Frazier Life Sciences VIII, L.P. ("FLS LP"). FHM Life Sciences VIII, L.P. ("FHM LP") is the general partner of FLS LP. FHM Life Sciences VIII, L.L.C. ("FHM LLC") is the general partner of FHM LP. James N. Topper and Patrick J. Heron are the sole managing members of FHM LLC. Mr. Topper, Mr. Heron, FHM LP and FHM LLC disclaims beneficial ownership of the securities held by FLS LP except, to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| September 17, 2021 Filed Sep 21, 2021 17:54 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | Disposition to issuerCommon Stock | 1,200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-057010 · doc4.xml · nonDerivative · entry 1 Frazier Life Sciences VIII, L.P. · CIK 0001655827 · 10% owner FHM LIFE SCIENCES VIII, L.L.C. · CIK 0001698823 · 10% owner Heron Patrick J · CIK 0001365617 · 10% owner Topper James N · CIK 0001341382 · Director · 10% owner FHM LIFE SCIENCES VIII, L.P. · CIK 0001698755 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,371,450 F1 · price: Frazier Life Sciences VIII, L.P. entered into an Exchange Agreement with the Issuer pursuant to which, Frazier Life Sciences VIII, L.P. exchanged, on a 1:1 basis, 1,200,000 shares of the Issuer's Common Stock for a prefunded warrant to purchase 1,200,000 shares of the Issuer's Common Stock at an exercise price of $0.001 per share (the "Pre-Funded Warrant"). F2 · ownership.direct: The reportable securities are held directly by Frazier Life Sciences VIII, L.P. ("FLS LP"). FHM Life Sciences VIII, L.P. ("FHM LP") is the general partner of FLS LP. FHM Life Sciences VIII, L.L.C. ("FHM LLC") is the general partner of FHM LP. James N. Topper and Patrick J. Heron are the sole managing members of FHM LLC. Mr. Topper, Mr. Heron, FHM LP and FHM LLC disclaims beneficial ownership of the securities held by FLS LP except, to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| July 20, 2021 Filed Jul 20, 2021 21:54 UTC | Imago BioSciences, Inc. IMGO · Entity 15490 | ConversionSeries C Preferred Stock · Derivative | 225,850 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-013730 · doc1.xml · derivative · entry 14 Heron Patrick J · CIK 0001365617 · Director FHM VII, L.L.C. · CIK 0001654631 · 10% owner FHM VII, L.P. · CIK 0001654632 · 10% owner Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 225,850 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F3 · derivative.exercise_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F3 · derivative.expiration_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F2 · ownership.nature: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| July 20, 2021 Filed Jul 20, 2021 21:54 UTC | Imago BioSciences, Inc. IMGO · Entity 15490 | ConversionSeries B Preferred Stock · Derivative | 740,673 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-013730 · doc1.xml · derivative · entry 13 Heron Patrick J · CIK 0001365617 · Director FHM VII, L.L.C. · CIK 0001654631 · 10% owner FHM VII, L.P. · CIK 0001654632 · 10% owner Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 740,673 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F3 · derivative.exercise_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F3 · derivative.expiration_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F2 · ownership.nature: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| July 20, 2021 Filed Jul 20, 2021 21:54 UTC | Imago BioSciences, Inc. IMGO · Entity 15490 | ConversionSeries A Preferred Stock · Derivative | 1,199,890 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-013730 · doc1.xml · derivative · entry 12 Heron Patrick J · CIK 0001365617 · Director FHM VII, L.L.C. · CIK 0001654631 · 10% owner FHM VII, L.P. · CIK 0001654632 · 10% owner Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,199,890 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F3 · derivative.exercise_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F3 · derivative.expiration_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F2 · ownership.nature: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| July 20, 2021 Filed Jul 20, 2021 21:54 UTC | Imago BioSciences, Inc. IMGO · Entity 15490 | ConversionSeries C Preferred Stock · Derivative | 64,360 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-013730 · doc1.xml · derivative · entry 11 Heron Patrick J · CIK 0001365617 · Director FHM VII, L.L.C. · CIK 0001654631 · 10% owner FHM VII, L.P. · CIK 0001654632 · 10% owner Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 64,360 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F3 · derivative.exercise_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F3 · derivative.expiration_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F1 · ownership.nature: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| July 20, 2021 Filed Jul 20, 2021 21:54 UTC | Imago BioSciences, Inc. IMGO · Entity 15490 | ConversionSeries B Preferred Stock · Derivative | 211,069 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-013730 · doc1.xml · derivative · entry 10 Heron Patrick J · CIK 0001365617 · Director FHM VII, L.L.C. · CIK 0001654631 · 10% owner FHM VII, L.P. · CIK 0001654632 · 10% owner Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 211,069 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F3 · derivative.exercise_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F3 · derivative.expiration_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F1 · ownership.nature: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| July 20, 2021 Filed Jul 20, 2021 21:54 UTC | Imago BioSciences, Inc. IMGO · Entity 15490 | ConversionSeries A Preferred Stock · Derivative | 341,932 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-013730 · doc1.xml · derivative · entry 9 Heron Patrick J · CIK 0001365617 · Director FHM VII, L.L.C. · CIK 0001654631 · 10% owner FHM VII, L.P. · CIK 0001654632 · 10% owner Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 341,932 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F3 · derivative.exercise_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F3 · derivative.expiration_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F1 · ownership.nature: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| July 20, 2021 Filed Jul 20, 2021 21:54 UTC | Imago BioSciences, Inc. IMGO · Entity 15490 | ConversionCommon Stock | 225,850 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-013730 · doc1.xml · nonDerivative · entry 8 Heron Patrick J · CIK 0001365617 · Director FHM VII, L.L.C. · CIK 0001654631 · 10% owner FHM VII, L.P. · CIK 0001654632 · 10% owner Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,312,331 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F2 · ownership.nature: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| July 20, 2021 Filed Jul 20, 2021 21:54 UTC | Imago BioSciences, Inc. IMGO · Entity 15490 | ConversionCommon Stock | 740,673 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-013730 · doc1.xml · nonDerivative · entry 7 Heron Patrick J · CIK 0001365617 · Director FHM VII, L.L.C. · CIK 0001654631 · 10% owner FHM VII, L.P. · CIK 0001654632 · 10% owner Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,086,481 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F2 · ownership.nature: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| July 20, 2021 Filed Jul 20, 2021 21:54 UTC | Imago BioSciences, Inc. IMGO · Entity 15490 | ConversionCommon Stock | 1,199,890 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-013730 · doc1.xml · nonDerivative · entry 6 Heron Patrick J · CIK 0001365617 · Director FHM VII, L.L.C. · CIK 0001654631 · 10% owner FHM VII, L.P. · CIK 0001654632 · 10% owner Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,345,808 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F2 · ownership.nature: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| July 20, 2021 Filed Jul 20, 2021 21:54 UTC | Imago BioSciences, Inc. IMGO · Entity 15490 | ConversionCommon Stock | 64,360 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-013730 · doc1.xml · nonDerivative · entry 5 Heron Patrick J · CIK 0001365617 · Director FHM VII, L.L.C. · CIK 0001654631 · 10% owner FHM VII, L.P. · CIK 0001654632 · 10% owner Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 658,943 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F1 · ownership.nature: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| July 20, 2021 Filed Jul 20, 2021 21:54 UTC | Imago BioSciences, Inc. IMGO · Entity 15490 | ConversionCommon Stock | 211,069 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-013730 · doc1.xml · nonDerivative · entry 4 Heron Patrick J · CIK 0001365617 · Director FHM VII, L.L.C. · CIK 0001654631 · 10% owner FHM VII, L.P. · CIK 0001654632 · 10% owner Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 594,583 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F1 · ownership.nature: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| July 20, 2021 Filed Jul 20, 2021 21:54 UTC | Imago BioSciences, Inc. IMGO · Entity 15490 | ConversionCommon Stock | 341,932 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-013730 · doc1.xml · nonDerivative · entry 3 Heron Patrick J · CIK 0001365617 · Director FHM VII, L.L.C. · CIK 0001654631 · 10% owner FHM VII, L.P. · CIK 0001654632 · 10% owner Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 383,514 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering on July 20, 2021 and had no expiration date. F1 · ownership.nature: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| July 20, 2021 Filed Jul 20, 2021 21:54 UTC | Imago BioSciences, Inc. IMGO · Entity 15490 | PurchaseCommon Stock | 145,918 | $16.00 | $2,334,688.00 |
DisclosureSEC source: 0001567619-21-013730 · doc1.xml · nonDerivative · entry 2 Heron Patrick J · CIK 0001365617 · Director FHM VII, L.L.C. · CIK 0001654631 · 10% owner FHM VII, L.P. · CIK 0001654632 · 10% owner Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 145,918 F2 · ownership.nature: These shares are held directly by Frazier Healthcare VII, L.P. ("FH VII"). The general partner of FH VII is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VII. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VII, except to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| July 20, 2021 Filed Jul 20, 2021 21:54 UTC | Imago BioSciences, Inc. IMGO · Entity 15490 | PurchaseCommon Stock | 41,582 | $16.00 | $665,312.00 |
DisclosureSEC source: 0001567619-21-013730 · doc1.xml · nonDerivative · entry 1 Heron Patrick J · CIK 0001365617 · Director FHM VII, L.L.C. · CIK 0001654631 · 10% owner FHM VII, L.P. · CIK 0001654632 · 10% owner Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 41,582 F1 · ownership.nature: These shares are held directly by Frazier Healthcare VII-A, L.P. ("FH VIIA"). The general partner of FH VIIA is FHM VII, L.P. and the general partner of FHM VII, L.P. is FHM VII, L.L.C., and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by FH VIIA. The Reporting Person is one of six members of FHM VII, L.L.C. The Reporting Person, FHM VII, L.P. and FHM VII, L.L.C. each disclaim Section 16 beneficial ownership of the securities held by FH VIIA, except to the extent of his or its pecuniary interest therein, if any. Read SEC document |
| July 15, 2021 Filed Jul 19, 2021 20:10 UTC | Imago BioSciences, Inc. IMGO · Entity 15490 | GrantStock Option (Right to Buy) · Derivative | 23,809 | $0.00 Strike: $16.00 | $0.00 |
DisclosureSEC source: 0001567619-21-013640 · doc1.xml · derivative · entry 1 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,809 Underlying: Common Stock · 23,809 shares Expires 2031-07-14 F1 · derivative.exercise_date: One thirty-sixth (1/36th) of the shares initially subject to the option will vest on each monthly anniversary measured from July 15, 2021 (the "Vesting Commencement Date"), so that 100% of the shares subject to the option will be fully vested and exercisable as of the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| June 09, 2021 Filed Jun 11, 2021 20:35 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | GrantStock Option (Right to Buy) · Derivative | 13,391 | $0.00 Strike: $27.77 | $0.00 |
DisclosureSEC source: 0001567619-21-012025 · doc1.xml · derivative · entry 1 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,391 Underlying: Common Stock · 13,391 shares Expires 2031-06-09 F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% on the earlier of (i) the first anniversary of June 9, 2021 or (ii) the next Annual Meeting following June 9, 2021, subject to Reporting Person's continuous service as a director until such vesting date. Read SEC document |
| June 04, 2021 Filed Jun 8, 2021 20:51 UTC | Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 | GrantStock Option (right to buy) · Derivative | 17,000 | $0.00 Strike: $16.88 | $0.00 |
DisclosureSEC source: 0001209191-21-038951 · doc4.xml · derivative · entry 1 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,000 Underlying: Common Stock · 17,000 shares Expires 2031-06-03 F1 · derivative.exercise_date: The shares vest on the first anniversary of the grant date, provided that the option will in any case be fully vested on the date of the Company's 2022 annual stockholder meeting. Read SEC document |
| June 02, 2021 Filed Jun 3, 2021 22:51 UTC | Vaxcyte, Inc. PCVX · Entity 1164 | GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $21.49 | $0.00 |
DisclosureSEC source: 0001209191-21-037903 · doc4.xml · derivative · entry 1 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2031-06-01 F1 · derivative.exercise_date: The shares subject to the option will vest monthly and fully vest on the earlier of June 2, 2022 or the day prior to the next annual meeting of stockholders, subject to the Reporting Person's continuous service through such date. Read SEC document |
| May 10, 2021 Filed May 12, 2021 21:37 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | OtherCommon Stock | 96,574 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-032151 · doc4.xml · nonDerivative · entry 3 Frazier Life Sciences VIII, L.P. · CIK 0001655827 · 10% owner FHM LIFE SCIENCES VIII, L.L.C. · CIK 0001698823 · 10% owner Heron Patrick J · CIK 0001365617 · Director · 10% owner Topper James N · CIK 0001341382 · 10% owner FHM LIFE SCIENCES VIII, L.P. · CIK 0001698755 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By FHM Life Sciences VIII, L.P. Disclosed balance after: 0 F5 · kind: Represents a pro rata in-kind stock distribution by FHM Life Sciences VIII, L.P. to its limited partners for no consideration. F4 · ownership.nature: Represents shares held of record by FHM Life Sciences VIII, L.P. The general partner of FHM Life Sciences VIII, L.P. is FHM Life Sciences VIII, L.L.C. Dr. Topper and Dr. Heron are the sole managing members of FHM Life Sciences VIII, L.L.C. and share voting and investment power of the securities held by FHM Life Sciences VIII, L.P. Dr. Topper and Dr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. Read SEC document |
| May 10, 2021 Filed May 12, 2021 21:37 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | OtherCommon Stock | 96,574 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-032151 · doc4.xml · nonDerivative · entry 2 Frazier Life Sciences VIII, L.P. · CIK 0001655827 · 10% owner FHM LIFE SCIENCES VIII, L.L.C. · CIK 0001698823 · 10% owner Heron Patrick J · CIK 0001365617 · Director · 10% owner Topper James N · CIK 0001341382 · 10% owner FHM LIFE SCIENCES VIII, L.P. · CIK 0001698755 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By FHM Life Sciences VIII, L.P. Disclosed balance after: 96,574 F3 · kind: Reflects shares of Common Stock received from FLS VIII in the in-kind stock distribution described herein. F4 · ownership.nature: Represents shares held of record by FHM Life Sciences VIII, L.P. The general partner of FHM Life Sciences VIII, L.P. is FHM Life Sciences VIII, L.L.C. Dr. Topper and Dr. Heron are the sole managing members of FHM Life Sciences VIII, L.L.C. and share voting and investment power of the securities held by FHM Life Sciences VIII, L.P. Dr. Topper and Dr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. Read SEC document |
| May 10, 2021 Filed May 12, 2021 21:37 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | OtherCommon Stock | 2,108,558 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-032151 · doc4.xml · nonDerivative · entry 1 Frazier Life Sciences VIII, L.P. · CIK 0001655827 · 10% owner FHM LIFE SCIENCES VIII, L.L.C. · CIK 0001698823 · 10% owner Heron Patrick J · CIK 0001365617 · Director · 10% owner Topper James N · CIK 0001341382 · 10% owner FHM LIFE SCIENCES VIII, L.P. · CIK 0001698755 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,434,232 F1 · kind: Represents a pro rata in-kind stock distribution by Frazier Life Sciences VIII, L.P. ("FLS VIII") to its limited partners and general partner for no consideration. F2 · ownership.direct: Represents shares held of record by FLS VIII. The general partner of FLS VIII is FHM Life Sciences VIII, L.P., and the general partner of FHM Life Sciences VIII, L.P. is FHM Life Sciences VIII, L.L.C. James Topper and Patrick Heron are the sole managing members of FHM Life Sciences VIII, L.L.C. and share voting and investment power of the securities held by FLS VIII. Dr. Topper and Dr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. Read SEC document |
| December 11, 2020 Filed Dec 11, 2020 21:05 UTC | Frazier Lifesciences Acquisition Corp FLAC · Entity 122080 | GrantWarrants · Derivative | 333,333 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001104659-20-134761 · tm2037955-9_4seq1.xml · derivative · entry 4 Topper James N · CIK 0001341382 · Director · Chief Executive Officer Frazier Lifesciences Sponsor LLC · CIK 0001828906 · Director · 10% owner Frazier Life Sciences X, L.P. · CIK 0001790879 · Director FHMLS X, L.P. · CIK 0001790880 · Director FHMLS X, L.L.C. · CIK 0001790811 · Director Heron Patrick J · CIK 0001365617 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 333,333 Underlying: Class A Ordinary Shares · 333,333 shares Expires not disclosed F4 · price: Frazier Life Sciences X, L.P. is the record holder of the securities. The reported Class A ordinary shares and warrants are within the 1,000,000 units of the Issuer, as described in the Registration Statement, purchased by Frazier Lifesciences X, L.P. in the Issuer's initial public offering for $10.00 per unit. Each unit consists of one share of Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one share of Class A ordinary share at $11.50 per share. F6 · derivative.exercise_date: The warrants will become exercisable on the later of (a) 30 days after the completion of the Issuer's initial business combination or (b) 12 months from the closing of the Issuer's initial public offering. F7 · derivative.expiration_date: The warrants will expire five years after the completion of the Issuer's initial business combination. F4 · ownership.direct: Frazier Life Sciences X, L.P. is the record holder of the securities. The reported Class A ordinary shares and warrants are within the 1,000,000 units of the Issuer, as described in the Registration Statement, purchased by Frazier Lifesciences X, L.P. in the Issuer's initial public offering for $10.00 per unit. Each unit consists of one share of Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one share of Class A ordinary share at $11.50 per share. F5 · ownership.direct: FHMLS X, L.P. is the general partner of Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. Patrick J. Heron and James N. Topper are the members of FHMLS X, L.L.C. and therefore share voting and investment power over the shares held by Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. Mr. Topper is the Chief Executive Officer and Chairman of the Board of the Issuer. By virtue of Mr. Topper's representation on the Issuer's Board, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, FHMLS X, L.P., FHMLS X, L.L.C., Mr. Topper and Mr. Heron may be deemed directors by deputization of the Issuer. As such, each such person may be deemed to have or share beneficial ownership of the common stock held directly by Frazier Life Sciences X, L.P. Each such entity or person disclaims any such beneficial ownership of such securities except to the extent of their pecuniary interest therein. Read SEC document |
| December 11, 2020 Filed Dec 11, 2020 21:05 UTC | Frazier Lifesciences Acquisition Corp FLAC · Entity 122080 | GrantWarrants · Derivative | 167,000 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001104659-20-134761 · tm2037955-9_4seq1.xml · derivative · entry 3 Topper James N · CIK 0001341382 · Director · Chief Executive Officer Frazier Lifesciences Sponsor LLC · CIK 0001828906 · Director · 10% owner Frazier Life Sciences X, L.P. · CIK 0001790879 · Director FHMLS X, L.P. · CIK 0001790880 · Director FHMLS X, L.L.C. · CIK 0001790811 · Director Heron Patrick J · CIK 0001365617 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,000 Underlying: Class A Ordinary Shares · 167,000 shares Expires not disclosed F1 · price: Frazier Lifesciences Sponsor LLC (the "Sponsor") is the record holder of the securities. The reported Class A ordinary shares and warrants are within the [465,000] private placement units of the Issuer, as described in the Issuer's Registration Statement on Form S-1 (File No. 333-250858) (the "Registration Statement") under the heading "Description of Securities," purchased by the Sponsor for $10.00 per private placement unit. The private placement units were purchased in a private placement that closed simultaneously with the closing of the Issuer's initial public offering. Each unit consists of one share of Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one share of Class A ordinary share at $11.50 per share. F6 · derivative.exercise_date: The warrants will become exercisable on the later of (a) 30 days after the completion of the Issuer's initial business combination or (b) 12 months from the closing of the Issuer's initial public offering. F7 · derivative.expiration_date: The warrants will expire five years after the completion of the Issuer's initial business combination. F1 · ownership.direct: Frazier Lifesciences Sponsor LLC (the "Sponsor") is the record holder of the securities. The reported Class A ordinary shares and warrants are within the [465,000] private placement units of the Issuer, as described in the Issuer's Registration Statement on Form S-1 (File No. 333-250858) (the "Registration Statement") under the heading "Description of Securities," purchased by the Sponsor for $10.00 per private placement unit. The private placement units were purchased in a private placement that closed simultaneously with the closing of the Issuer's initial public offering. Each unit consists of one share of Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one share of Class A ordinary share at $11.50 per share. F2 · ownership.direct: Frazier Life Sciences X, L.P. is the sole member of Frazier Lifesciences Sponsor LLC. FHMLS X, L.P. is the general partner of Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. Patrick J. Heron and James N. Topper are the members of FHMLS X, L.L.C. and therefore share voting and investment power over the shares held by Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. Mr. Topper is the Chief Executive Officer and Chairman of the Board of Directors (the "Board") of the Issuer. F3 · ownership.direct: By virtue of Mr. Topper's representation on the Issuer's Board, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each of Frazier Life Sciences X, L.P., FHMLS X, L.P., FHMLS X, L.L.C., Mr. Topper and Mr. Heron may be deemed directors by deputization of the Issuer. As such, each of such entity or person may be deemed to have or share beneficial ownership of the common stock held directly by Frazier Lifesciences Sponsor LLC. Each such entity or person disclaims any such beneficial ownership of such securities except to the extent of their pecuniary interest therein. Read SEC document |
| December 11, 2020 Filed Dec 11, 2020 21:05 UTC | Frazier Lifesciences Acquisition Corp FLAC · Entity 122080 | PurchaseClass A Ordinary Shares | 1,000,000 | $10.00 | $10,000,000.00 |
DisclosureSEC source: 0001104659-20-134761 · tm2037955-9_4seq1.xml · nonDerivative · entry 2 Topper James N · CIK 0001341382 · Director · Chief Executive Officer Frazier Lifesciences Sponsor LLC · CIK 0001828906 · Director · 10% owner Frazier Life Sciences X, L.P. · CIK 0001790879 · Director FHMLS X, L.P. · CIK 0001790880 · Director FHMLS X, L.L.C. · CIK 0001790811 · Director Heron Patrick J · CIK 0001365617 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000,000 F4 · ownership.direct: Frazier Life Sciences X, L.P. is the record holder of the securities. The reported Class A ordinary shares and warrants are within the 1,000,000 units of the Issuer, as described in the Registration Statement, purchased by Frazier Lifesciences X, L.P. in the Issuer's initial public offering for $10.00 per unit. Each unit consists of one share of Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one share of Class A ordinary share at $11.50 per share. F5 · ownership.direct: FHMLS X, L.P. is the general partner of Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. Patrick J. Heron and James N. Topper are the members of FHMLS X, L.L.C. and therefore share voting and investment power over the shares held by Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. Mr. Topper is the Chief Executive Officer and Chairman of the Board of the Issuer. By virtue of Mr. Topper's representation on the Issuer's Board, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, FHMLS X, L.P., FHMLS X, L.L.C., Mr. Topper and Mr. Heron may be deemed directors by deputization of the Issuer. As such, each such person may be deemed to have or share beneficial ownership of the common stock held directly by Frazier Life Sciences X, L.P. Each such entity or person disclaims any such beneficial ownership of such securities except to the extent of their pecuniary interest therein. Read SEC document |
| December 11, 2020 Filed Dec 11, 2020 21:05 UTC | Frazier Lifesciences Acquisition Corp FLAC · Entity 122080 | GrantClass A Ordinary Shares | 501,000 | $10.00 | $5,010,000.00 |
DisclosureSEC source: 0001104659-20-134761 · tm2037955-9_4seq1.xml · nonDerivative · entry 1 Topper James N · CIK 0001341382 · Director · Chief Executive Officer Frazier Lifesciences Sponsor LLC · CIK 0001828906 · Director · 10% owner Frazier Life Sciences X, L.P. · CIK 0001790879 · Director FHMLS X, L.P. · CIK 0001790880 · Director FHMLS X, L.L.C. · CIK 0001790811 · Director Heron Patrick J · CIK 0001365617 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 501,000 F1 · ownership.direct: Frazier Lifesciences Sponsor LLC (the "Sponsor") is the record holder of the securities. The reported Class A ordinary shares and warrants are within the [465,000] private placement units of the Issuer, as described in the Issuer's Registration Statement on Form S-1 (File No. 333-250858) (the "Registration Statement") under the heading "Description of Securities," purchased by the Sponsor for $10.00 per private placement unit. The private placement units were purchased in a private placement that closed simultaneously with the closing of the Issuer's initial public offering. Each unit consists of one share of Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one share of Class A ordinary share at $11.50 per share. F2 · ownership.direct: Frazier Life Sciences X, L.P. is the sole member of Frazier Lifesciences Sponsor LLC. FHMLS X, L.P. is the general partner of Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. Patrick J. Heron and James N. Topper are the members of FHMLS X, L.L.C. and therefore share voting and investment power over the shares held by Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. Mr. Topper is the Chief Executive Officer and Chairman of the Board of Directors (the "Board") of the Issuer. F3 · ownership.direct: By virtue of Mr. Topper's representation on the Issuer's Board, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each of Frazier Life Sciences X, L.P., FHMLS X, L.P., FHMLS X, L.L.C., Mr. Topper and Mr. Heron may be deemed directors by deputization of the Issuer. As such, each of such entity or person may be deemed to have or share beneficial ownership of the common stock held directly by Frazier Lifesciences Sponsor LLC. Each such entity or person disclaims any such beneficial ownership of such securities except to the extent of their pecuniary interest therein. Read SEC document |
| October 20, 2020 Filed Oct 21, 2020 00:01 UTC | Tarsus Pharmaceuticals, Inc. TARS · Entity 1836 | ConversionSeries C Preferred Stock · Derivative | 214,281 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-055425 · doc4.xml · derivative · entry 5 Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner FHMLS IX, L.P. · CIK 0001782789 · 10% owner FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner Topper James N · CIK 0001341382 · 10% owner Heron Patrick J · CIK 0001365617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 214,281 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F1 · price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein. Read SEC document |
| October 20, 2020 Filed Oct 21, 2020 00:01 UTC | Tarsus Pharmaceuticals, Inc. TARS · Entity 1836 | ConversionSeries B Preferred Stock · Derivative | 1,390,376 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-055425 · doc4.xml · derivative · entry 4 Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner FHMLS IX, L.P. · CIK 0001782789 · 10% owner FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner Topper James N · CIK 0001341382 · 10% owner Heron Patrick J · CIK 0001365617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,390,376 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: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F1 · price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein. Read SEC document |
| October 20, 2020 Filed Oct 21, 2020 00:01 UTC | Tarsus Pharmaceuticals, Inc. TARS · Entity 1836 | PurchaseCommon Stock | 312,500 | $16.00 | $5,000,000.00 |
DisclosureSEC source: 0001209191-20-055425 · doc4.xml · nonDerivative · entry 3 Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner FHMLS IX, L.P. · CIK 0001782789 · 10% owner FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner Topper James N · CIK 0001341382 · 10% owner Heron Patrick J · CIK 0001365617 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,917,157 F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein. 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.