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 |
|---|---|---|---|---|---|---|
| October 20, 2020 Filed Oct 21, 2020 00:01 UTC | Tarsus Pharmaceuticals, Inc. TARS · Entity 1836 | ConversionCommon Stock | 214,281 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-055425 · doc4.xml · nonDerivative · entry 2 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: 1,604,657 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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 | ConversionCommon Stock | 1,390,376 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-055425 · doc4.xml · nonDerivative · entry 1 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: 1,390,376 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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 |
| July 01, 2020 Filed Jul 6, 2020 10:05 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | Exercise / conversionRestricted Stock Units · Derivative | 2,852 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-018404 · doc4.xml · derivative · entry 4 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 2,852 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: Restricted stock units converted into ordinary shares on a one-for-one basis upon vesting of the units. F4 · derivative.exercise_date: On June 13, 2019, the reporting person was granted an award of 2,852 restricted stock units, which vested on July 1, 2020. F4 · derivative.expiration_date: On June 13, 2019, the reporting person was granted an award of 2,852 restricted stock units, which vested on July 1, 2020. Read SEC document |
| July 01, 2020 Filed Jul 6, 2020 10:05 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | Exercise / conversionOrdinary Shares | 2,852 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-018404 · doc4.xml · nonDerivative · entry 1 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,006 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted stock units converted into ordinary shares on a one-for-one basis upon vesting of the units. Read SEC document |
| June 16, 2020 Filed Jun 16, 2020 23:13 UTC | Vaxcyte, Inc. PCVX · Entity 1164 | ConversionSeries D Preferred Stock · Derivative | 140,824 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-037076 · doc4.xml · derivative · entry 7 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 140,824 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date. F4 · derivative.exercise_price: The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date. F4 · derivative.exercise_date: The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date. F4 · derivative.expiration_date: The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: The shares are held of record by Frazier Life Sciences VIII, L.P. ("FLS VIII"). FHM Life Sciences VIII, L.P. ("FHM LP") is the general partner of FLS VIII and FHM Life Sciences VIII, L.L.C. ("FHM LLC") is the general partner of FHM LP. Patrick Heron and James Topper may be deemed to beneficially own the shares which are held by FLS VIII as they are the sole managing members of FHM LLC and therefore share voting and dispositive power over the shares held by FLS VIII. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 16, 2020 Filed Jun 16, 2020 23:13 UTC | Vaxcyte, Inc. PCVX · Entity 1164 | ConversionSeries C Preferred Stock · Derivative | 226,236 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-037076 · doc4.xml · derivative · entry 6 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 226,236 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 · security: The Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date. F3 · derivative.exercise_price: The Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date. F3 · derivative.exercise_date: The Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date. F3 · derivative.expiration_date: The Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: The shares are held of record by Frazier Life Sciences VIII, L.P. ("FLS VIII"). FHM Life Sciences VIII, L.P. ("FHM LP") is the general partner of FLS VIII and FHM Life Sciences VIII, L.L.C. ("FHM LLC") is the general partner of FHM LP. Patrick Heron and James Topper may be deemed to beneficially own the shares which are held by FLS VIII as they are the sole managing members of FHM LLC and therefore share voting and dispositive power over the shares held by FLS VIII. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 16, 2020 Filed Jun 16, 2020 23:13 UTC | Vaxcyte, Inc. PCVX · Entity 1164 | ConversionSeries B Preferred Stock · Derivative | 1,692,494 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-037076 · doc4.xml · derivative · entry 5 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,692,494 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 · security: The Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_price: The Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: The shares are held of record by Frazier Life Sciences VIII, L.P. ("FLS VIII"). FHM Life Sciences VIII, L.P. ("FHM LP") is the general partner of FLS VIII and FHM Life Sciences VIII, L.L.C. ("FHM LLC") is the general partner of FHM LP. Patrick Heron and James Topper may be deemed to beneficially own the shares which are held by FLS VIII as they are the sole managing members of FHM LLC and therefore share voting and dispositive power over the shares held by FLS VIII. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 16, 2020 Filed Jun 16, 2020 23:13 UTC | Vaxcyte, Inc. PCVX · Entity 1164 | PurchaseCommon Stock | 250,000 | $16.00 | $4,000,000.00 |
DisclosureSEC source: 0001209191-20-037076 · doc4.xml · nonDerivative · entry 4 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences VIII, L.P. Disclosed balance after: 2,309,554 F2 · ownership.nature: The shares are held of record by Frazier Life Sciences VIII, L.P. ("FLS VIII"). FHM Life Sciences VIII, L.P. ("FHM LP") is the general partner of FLS VIII and FHM Life Sciences VIII, L.L.C. ("FHM LLC") is the general partner of FHM LP. Patrick Heron and James Topper may be deemed to beneficially own the shares which are held by FLS VIII as they are the sole managing members of FHM LLC and therefore share voting and dispositive power over the shares held by FLS VIII. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 16, 2020 Filed Jun 16, 2020 23:13 UTC | Vaxcyte, Inc. PCVX · Entity 1164 | ConversionCommon Stock | 140,824 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-037076 · doc4.xml · nonDerivative · entry 3 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences VIII, L.P. Disclosed balance after: 2,059,554 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: The shares are held of record by Frazier Life Sciences VIII, L.P. ("FLS VIII"). FHM Life Sciences VIII, L.P. ("FHM LP") is the general partner of FLS VIII and FHM Life Sciences VIII, L.L.C. ("FHM LLC") is the general partner of FHM LP. Patrick Heron and James Topper may be deemed to beneficially own the shares which are held by FLS VIII as they are the sole managing members of FHM LLC and therefore share voting and dispositive power over the shares held by FLS VIII. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 16, 2020 Filed Jun 16, 2020 23:13 UTC | Vaxcyte, Inc. PCVX · Entity 1164 | ConversionCommon Stock | 226,236 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-037076 · doc4.xml · nonDerivative · entry 2 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences VIII, L.P. Disclosed balance after: 1,918,730 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: The Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: The shares are held of record by Frazier Life Sciences VIII, L.P. ("FLS VIII"). FHM Life Sciences VIII, L.P. ("FHM LP") is the general partner of FLS VIII and FHM Life Sciences VIII, L.L.C. ("FHM LLC") is the general partner of FHM LP. Patrick Heron and James Topper may be deemed to beneficially own the shares which are held by FLS VIII as they are the sole managing members of FHM LLC and therefore share voting and dispositive power over the shares held by FLS VIII. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 16, 2020 Filed Jun 16, 2020 23:13 UTC | Vaxcyte, Inc. PCVX · Entity 1164 | ConversionCommon Stock | 1,692,494 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-037076 · doc4.xml · nonDerivative · entry 1 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences VIII, L.P. Disclosed balance after: 1,692,494 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: The shares are held of record by Frazier Life Sciences VIII, L.P. ("FLS VIII"). FHM Life Sciences VIII, L.P. ("FHM LP") is the general partner of FLS VIII and FHM Life Sciences VIII, L.L.C. ("FHM LLC") is the general partner of FHM LP. Patrick Heron and James Topper may be deemed to beneficially own the shares which are held by FLS VIII as they are the sole managing members of FHM LLC and therefore share voting and dispositive power over the shares held by FLS VIII. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 12, 2020 Filed Jun 16, 2020 17:42 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | OtherCommon Stock | 1,456,854 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-037031 · doc4.xml · nonDerivative · entry 1 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 · Director · 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: 5,827,415 F1 · kind: Represents a pro rata distribution in-kind by Frazier Life Sciences IX, L.P. ("FLS IX") to its limited partners for no consideration. F2 · ownership.direct: 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. Read SEC document |
| June 11, 2020 Filed Jun 15, 2020 20:19 UTC | Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 | GrantStock Option (right to buy) · Derivative | 17,000 | $0.00 Strike: $16.71 | $0.00 |
DisclosureSEC source: 0001209191-20-036594 · 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 2030-06-10 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 Company's 2021 annual stockholder meeting. Read SEC document |
| June 11, 2020 Filed Jun 15, 2020 22:11 UTC | Vaxcyte, Inc. PCVX · Entity 1164 | GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $16.00 | $0.00 |
DisclosureSEC source: 0001209191-20-036734 · doc4.xml · derivative · entry 1 Heron Patrick J · CIK 0001365617 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2030-06-10 F1 · derivative.exercise_date: 1/3 of the shares subject to the option vest on June 11, 2021, and 1/36 of the shares vest monthly thereafter. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 23:54 UTC | Passage BIO, Inc. PASG · Entity 7829 | ConversionSeries B Preferred Stock · Derivative | 432,802 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-015654 · doc4.xml · derivative · entry 7 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences IX, L.P. Disclosed balance after: 0 Underlying: Common Stock · 432,802 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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 · ownership.nature: 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. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 23:54 UTC | Passage BIO, Inc. PASG · Entity 7829 | ConversionSeries A-2 Preferred Stock · Derivative | 1,049,175 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-015654 · doc4.xml · derivative · entry 6 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences IX, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,049,175 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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 · ownership.nature: 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. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 23:54 UTC | Passage BIO, Inc. PASG · Entity 7829 | ConversionSeries A-1 Preferred Stock · Derivative | 2,977,242 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-015654 · doc4.xml · derivative · entry 5 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences IX, L.P. Disclosed balance after: 0 Underlying: Common Stock · 2,977,242 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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 · ownership.nature: 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. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 23:54 UTC | Passage BIO, Inc. PASG · Entity 7829 | PurchaseCommon Stock | 550,000 | $18.00 | $9,900,000.00 |
DisclosureSEC source: 0001209191-20-015654 · doc4.xml · nonDerivative · entry 4 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences IX, L.P. Disclosed balance after: 5,009,219 F2 · ownership.nature: 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. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 23:54 UTC | Passage BIO, Inc. PASG · Entity 7829 | ConversionCommon Stock | 432,802 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-015654 · doc4.xml · nonDerivative · entry 3 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences IX, L.P. Disclosed balance after: 4,459,219 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of 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 · ownership.nature: 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. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 23:54 UTC | Passage BIO, Inc. PASG · Entity 7829 | ConversionCommon Stock | 1,049,175 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-015654 · doc4.xml · nonDerivative · entry 2 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences IX, L.P. Disclosed balance after: 4,026,417 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of 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 · ownership.nature: 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. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 23:54 UTC | Passage BIO, Inc. PASG · Entity 7829 | ConversionCommon Stock | 2,977,242 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-015654 · doc4.xml · nonDerivative · entry 1 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences IX, L.P. Disclosed balance after: 2,977,242 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of 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 · ownership.nature: 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. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 22:54 UTC | Passage BIO, Inc. PASG · Entity 7829 | GrantDirector Stock Option (Right to Buy) · Derivative | 33,836 | $0.00 Strike: $18.00 | $0.00 |
DisclosureSEC source: 0001209191-20-014695 · doc4.xml · derivative · entry 1 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,836 Underlying: Common Stock · 33,836 shares Expires 2030-02-27 F1 · derivative.exercise_date: The option vest as to 2.778% of the total shares monthly, commencing March 27, 2020, with 100% of the total shares vested on February 27, 2023, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| February 27, 2020 Filed Mar 4, 2020 02:02 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | GrantStock Option (Right to Buy) · Derivative | 24,000 | $0.00 Strike: $27.61 | $0.00 |
DisclosureSEC source: 0001567619-20-005545 · doc1.xml · derivative · entry 1 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,000 Underlying: Common Stock · 24,000 shares Expires 2030-02-27 F1 · derivative.exercise_date: The option vests and becomes exercisable 100% on the earlier of the date of the next annual meeting of the Issuer's stockholders or February 27, 2021. Read SEC document |
| February 04, 2020 Filed Feb 6, 2020 16:27 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | ConversionSeries C Preferred Stock · Derivative | 1,074,467 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-007104 · doc4.xml · derivative · entry 7 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By: Frazier Life Sciences VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,074,467 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock had no expiration date and automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock had no expiration date and automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock had no expiration date and automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: 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 disclaims beneficial ownership of the securities held by FLS LP, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| February 04, 2020 Filed Feb 6, 2020 16:27 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | ConversionSeries B Preferred Stock · Derivative | 2,099,019 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-007104 · doc4.xml · derivative · entry 6 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By: Frazier Life Sciences VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 2,099,019 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock had no expiration date and automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock had no expiration date and automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock had no expiration date and automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: 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 disclaims beneficial ownership of the securities held by FLS LP, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| February 04, 2020 Filed Feb 6, 2020 16:27 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | ConversionSeries A Preferred Stock · Derivative | 6,360,272 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-007104 · doc4.xml · derivative · entry 5 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By: Frazier Life Sciences VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 6,360,272 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock had no expiration date and automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock had no expiration date and automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock had no expiration date and automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: 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 disclaims beneficial ownership of the securities held by FLS LP, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| February 04, 2020 Filed Feb 6, 2020 16:27 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | PurchaseCommon Stock | 500,000 | $17.00 | $8,500,000.00 |
DisclosureSEC source: 0001209191-20-007104 · doc4.xml · nonDerivative · entry 4 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By: Frazier Life Sciences VIII, L.P. Disclosed balance after: 10,542,790 F2 · ownership.nature: 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 disclaims beneficial ownership of the securities held by FLS LP, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| February 04, 2020 Filed Feb 6, 2020 16:27 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | ConversionCommon Stock | 1,074,467 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-007104 · doc4.xml · nonDerivative · entry 3 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By: Frazier Life Sciences VIII, L.P. Disclosed balance after: 10,042,790 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock had no expiration date and automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: 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 disclaims beneficial ownership of the securities held by FLS LP, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| February 04, 2020 Filed Feb 6, 2020 16:27 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | ConversionCommon Stock | 2,099,019 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-007104 · doc4.xml · nonDerivative · entry 2 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By: Frazier Life Sciences VIII, L.P. Disclosed balance after: 8,968,323 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock had no expiration date and automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: 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 disclaims beneficial ownership of the securities held by FLS LP, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| February 04, 2020 Filed Feb 6, 2020 16:27 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | ConversionCommon Stock | 6,360,272 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-007104 · doc4.xml · nonDerivative · entry 1 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By: Frazier Life Sciences VIII, L.P. Disclosed balance after: 6,869,304 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the Issuer's Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock had no expiration date and automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: 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 disclaims beneficial ownership of the securities held by FLS LP, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| January 21, 2020 Filed Jan 23, 2020 21:54 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | Grant6.500% Exchangeable Senior Subordinated Note due 2025 · Derivative | Not disclosed | $333,000.00 | $333,000.00 |
DisclosureSEC source: 0000899243-20-001840 · doc4.xml · derivative · entry 2 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Healthcare VII-A, L.P. Disclosed balance after: Not disclosed Underlying: Ordinary Shares · 333,000 shares Expires 2025-01-31 F1 · derivative.exercise_price: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. Subject to the terms of the indenture governing the Exchangeable Notes, on or after January 21, 2021 until the second scheduled trading day immediately preceding January 15, 2025, holders may exchange the Exchangeable Notes at any time. The Exchangeable Notes are exchangeable into, at the Company's election, Ordinary Shares of the Company, cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share). F2 · derivative.exercise_price: (continued from footnote 1) The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms. F1 · derivative.exercise_date: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. Subject to the terms of the indenture governing the Exchangeable Notes, on or after January 21, 2021 until the second scheduled trading day immediately preceding January 15, 2025, holders may exchange the Exchangeable Notes at any time. The Exchangeable Notes are exchangeable into, at the Company's election, Ordinary Shares of the Company, cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share). F2 · derivative.exercise_date: (continued from footnote 1) The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms. F4 · ownership.nature: The Exchangeable Note is 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. 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. 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 |
| January 21, 2020 Filed Jan 23, 2020 21:54 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | Grant6.500% Exchangeable Senior Subordinated Note due 2025 · Derivative | Not disclosed | $1,167,000.00 | $1,167,000.00 |
DisclosureSEC source: 0000899243-20-001840 · doc4.xml · derivative · entry 1 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Healthcare VII, L.P. Disclosed balance after: Not disclosed Underlying: Ordinary Shares · 1,167,000 shares Expires 2025-01-31 F1 · derivative.exercise_price: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. Subject to the terms of the indenture governing the Exchangeable Notes, on or after January 21, 2021 until the second scheduled trading day immediately preceding January 15, 2025, holders may exchange the Exchangeable Notes at any time. The Exchangeable Notes are exchangeable into, at the Company's election, Ordinary Shares of the Company, cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share). F2 · derivative.exercise_price: (continued from footnote 1) The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms. F1 · derivative.exercise_date: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. Subject to the terms of the indenture governing the Exchangeable Notes, on or after January 21, 2021 until the second scheduled trading day immediately preceding January 15, 2025, holders may exchange the Exchangeable Notes at any time. The Exchangeable Notes are exchangeable into, at the Company's election, Ordinary Shares of the Company, cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share). F2 · derivative.exercise_date: (continued from footnote 1) The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms. F3 · ownership.nature: The Exchangeable Note is 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 securities 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. 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 |
| January 09, 2020 Filed Jan 13, 2020 15:47 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | SaleCommon Stock | 50,000 | $5.00 | $250,010.00 |
DisclosureSEC source: 0001209191-20-003162 · doc4.xml · nonDerivative · entry 1 Frazier Life Sciences VIII, L.P. · CIK 0001655827 · 10% owner Topper James N · CIK 0001341382 · 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,299,953 F1 · price: 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 · 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 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. Read SEC document |
| October 29, 2019 Filed Oct 30, 2019 17:04 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | ConversionConvertible Promissory Notes · Derivative | Not disclosed | Not disclosed | $20,575,342.48 |
DisclosureSEC source: 0001209191-19-054525 · doc4.xml · derivative · entry 3 Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner Topper James N · CIK 0001341382 · Director · 10% owner Heron Patrick J · CIK 0001365617 · 10% owner FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner FHMLS IX, L.P. · CIK 0001782789 · 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 · 1,353,640 shares Expires 2020-05-07 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, the outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock based on a conversion price of $15.20 per share. F1 · price: Immediately prior to the closing of the Issuer's initial public offering, the outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock based on a conversion price of $15.20 per share. F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, the outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock based on a conversion price of $15.20 per share. F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, the outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock based on a conversion price of $15.20 per share. F2 · ownership.direct: The shares reported herein are held of record by Frazier Life Sciences IX, L.P. ("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. Read SEC document |
| October 29, 2019 Filed Oct 30, 2019 17:04 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | PurchaseCommon Stock | 1,052,631 | $19.00 | $19,999,989.00 |
DisclosureSEC source: 0001209191-19-054525 · doc4.xml · nonDerivative · entry 2 Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner Topper James N · CIK 0001341382 · Director · 10% owner Heron Patrick J · CIK 0001365617 · 10% owner FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner FHMLS IX, L.P. · CIK 0001782789 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,284,269 F2 · ownership.direct: The shares reported herein are held of record by Frazier Life Sciences IX, L.P. ("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. Read SEC document |
| October 29, 2019 Filed Oct 30, 2019 17:04 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | ConversionCommon Stock | 1,353,640 | $15.20 | $20,575,328.00 |
DisclosureSEC source: 0001209191-19-054525 · doc4.xml · nonDerivative · entry 1 Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner Topper James N · CIK 0001341382 · Director · 10% owner Heron Patrick J · CIK 0001365617 · 10% owner FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner FHMLS IX, L.P. · CIK 0001782789 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,231,638 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Immediately prior to the closing of the Issuer's initial public offering, the outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock based on a conversion price of $15.20 per share. F2 · ownership.direct: The shares reported herein are held of record by Frazier Life Sciences IX, L.P. ("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. Read SEC document |
| July 22, 2019 Filed Jul 24, 2019 20:12 UTC | Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 | ConversionSeries A Preferred Stock · Derivative | 24,935,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-043022 · doc4.xml · derivative · entry 3 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences IX, L.P. Disclosed balance after: 0 Underlying: Common Stock · 3,116,912 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: In connection with the Issuer's initial public offering, each share of the Issuer's Series A Preferred Stock automatically converted into 0.125 shares of the Issuer's Common Stock. The shares have no expiration date. F1 · derivative.exercise_date: In connection with the Issuer's initial public offering, each share of the Issuer's Series A Preferred Stock automatically converted into 0.125 shares of the Issuer's Common Stock. The shares have no expiration date. F1 · derivative.expiration_date: In connection with the Issuer's initial public offering, each share of the Issuer's Series A Preferred Stock automatically converted into 0.125 shares of the Issuer's Common Stock. The shares have no expiration date. F1 · derivative.underlying_shares: In connection with the Issuer's initial public offering, each share of the Issuer's Series A Preferred Stock automatically converted into 0.125 shares of the Issuer's Common Stock. The shares have no expiration date. F2 · ownership.nature: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. The Reporting Person and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein. Read SEC document |
| July 22, 2019 Filed Jul 24, 2019 20:12 UTC | Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 | PurchaseCommon Stock | 450,000 | $15.00 | $6,750,000.00 |
DisclosureSEC source: 0001209191-19-043022 · doc4.xml · nonDerivative · entry 2 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences IX, L.P. Disclosed balance after: 3,566,912 F3 · kind: The shares were purchased in the Issuer's initial public offering. F2 · ownership.nature: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. The Reporting Person and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein. Read SEC document |
| July 22, 2019 Filed Jul 24, 2019 20:12 UTC | Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 | ConversionCommon Stock | 3,116,912 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-043022 · doc4.xml · nonDerivative · entry 1 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Frazier Life Sciences IX, L.P. Disclosed balance after: 3,116,912 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: In connection with the Issuer's initial public offering, each share of the Issuer's Series A Preferred Stock automatically converted into 0.125 shares of the Issuer's Common Stock. The shares have no expiration date. F1 · price: In connection with the Issuer's initial public offering, each share of the Issuer's Series A Preferred Stock automatically converted into 0.125 shares of the Issuer's Common Stock. The shares have no expiration date. F2 · ownership.nature: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. The Reporting Person and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein. Read SEC document |
| June 13, 2019 Filed Jun 17, 2019 21:00 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | GrantRestricted Stock Units · Derivative | 2,852 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-017201 · doc4.xml · derivative · entry 2 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,852 Underlying: Ordinary Shares · 2,852 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one ordinary share upon vesting of the RSU. F3 · derivative.exercise_date: Subject to the reporting person providing continuous service to the Issuer and the other terms and conditions of the Issuer's 2018 Equity Incentive Plan, the RSUs shall vest on June 13, 2020. F3 · derivative.expiration_date: Subject to the reporting person providing continuous service to the Issuer and the other terms and conditions of the Issuer's 2018 Equity Incentive Plan, the RSUs shall vest on June 13, 2020. Read SEC document |
| June 13, 2019 Filed Jun 17, 2019 21:00 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | GrantStock Option (Right to Buy) · Derivative | 9,836 | $0.00 Strike: $6.74 | $0.00 |
DisclosureSEC source: 0000899243-19-017201 · doc4.xml · derivative · entry 1 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,836 Underlying: Ordinary Shares · 9,836 shares Expires 2029-06-12 F1 · derivative.exercise_date: Subject to the reporting person providing continuous service to the Issuer and the other terms and conditions of the Issuer's 2018 Equity Incentive Plan, the shares subject to this option shall vest on June 13, 2020. Read SEC document |
| May 24, 2019 Filed May 29, 2019 20:22 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | Exercise / conversionRestricted Stock Units · Derivative | 6,154 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-015013 · doc4.xml · derivative · entry 4 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 6,154 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: Restricted stock units converted into ordinary shares on a one-for-one basis upon vesting of the units. F4 · derivative.exercise_date: On May 24, 2018, the reporting person was granted an award of 6,154 restricted stock units, which vested on May 24, 2019. F4 · derivative.expiration_date: On May 24, 2018, the reporting person was granted an award of 6,154 restricted stock units, which vested on May 24, 2019. Read SEC document |
| May 24, 2019 Filed May 29, 2019 20:22 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | Exercise / conversionOrdinary Shares | 6,154 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-015013 · doc4.xml · nonDerivative · entry 1 Heron Patrick J · CIK 0001365617 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,154 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted stock units converted into ordinary shares on a one-for-one basis upon vesting of the units. Read SEC document |
| January 18, 2019 Filed Jan 22, 2019 22:14 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | PurchaseWarrant (Right to Buy) · Derivative | 145,251 | $0.00 Strike: $12.74 | $0.00 |
DisclosureSEC source: 0001209191-19-004783 · doc4.xml · derivative · entry 2 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,251 Underlying: Common Stock · 145,251 shares Expires 2024-01-18 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 Topper and Patrick Heron are the sole managing members of FHM LLC. 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 |
| January 18, 2019 Filed Jan 22, 2019 22:14 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | PurchaseCommon Stock | 372,439 | $5.37 | $1,999,997.43 |
DisclosureSEC source: 0001209191-19-004783 · 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,571,450 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 Topper and Patrick Heron are the sole managing members of FHM LLC. 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 28, 2018 Filed Oct 3, 2018 01:38 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | ConversionSeries B-1 Tranche B Convertible Preferred Stock · Derivative | 6,651,574 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053535 · doc4.xml · derivative · entry 7 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 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: 0 Underlying: Common Stock · 320,898 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. 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 Topper and Patrick Heron are the sole managing members of FHM LLC. 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 28, 2018 Filed Oct 3, 2018 01:38 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | ConversionSeries B-1 Tranche A Convertible Preferred Stock · Derivative | 5,212,833 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053535 · doc4.xml · derivative · entry 6 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 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: 0 Underlying: Common Stock · 251,487 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. 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 Topper and Patrick Heron are the sole managing members of FHM LLC. 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 28, 2018 Filed Oct 3, 2018 01:38 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | ConversionSeries B Convertible Preferred Stock · Derivative | 7,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053535 · doc4.xml · derivative · entry 5 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 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: 0 Underlying: Common Stock · 337,707 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. 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 Topper and Patrick Heron are the sole managing members of FHM LLC. 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 28, 2018 Filed Oct 3, 2018 01:38 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | PurchaseCommon Stock | 375,887 | $15.00 | $5,638,305.00 |
DisclosureSEC source: 0001209191-18-053535 · doc4.xml · nonDerivative · entry 4 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 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: 1,349,953 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 Topper and Patrick Heron are the sole managing members of FHM LLC. 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 28, 2018 Filed Oct 3, 2018 01:38 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | ConversionCommon Stock | 320,898 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-053535 · 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 · 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: 974,066 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · balance_after: This number includes an aggregate of 63,974 shares of Common Stock received upon the conversion of the Issuer's Preferred Stock as payment of the accrued dividends through September 27, 2018. No dividends will accrue after September 27, 2018. 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 Topper and Patrick Heron are the sole managing members of FHM LLC. 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.