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person · Reporting owner

Heron Patrick J

Disclosed activity across 17 companies

Tapewire entity
37276
SEC CIK
0001365617

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ALPINE IMMUNE SCIENCES, INC.ALPN · Entity 9080210% ownerFebruary 11, 2022February 15, 2022
Arcutis Biotherapeutics, Inc.ARQT · Entity 4236DirectorJune 05, 2026June 12, 2026
Frazier Lifesciences Acquisition CorpFLAC · Entity 122080DirectorDecember 08, 2020December 17, 2020
Imago BioSciences, Inc.IMGO · Entity 15490DirectorJuly 20, 2021July 20, 2021
Iterum Therapeutics plcITRM · Entity 72802DirectorJuly 01, 2020July 06, 2020
MBX Biosciences, Inc.MBX · Entity 4247Director · 10% ownerJune 04, 2026June 05, 2026
Mirum Pharmaceuticals, Inc.MIRM · Entity 2416DirectorJune 15, 2026June 18, 2026
Passage BIO, Inc.PASG · Entity 7829Director · 10% ownerMarch 03, 2020March 03, 2020
Phathom Pharmaceuticals, Inc.PHAT · Entity 517710% ownerJune 12, 2020June 16, 2020
Sierra Oncology, Inc.SRRA · Entity 12569810% ownerFebruary 14, 2017February 24, 2017
Vaxcyte, Inc.PCVX · Entity 1164DirectorJune 02, 2021June 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect1,484,115 Reported balance After 2022-02-11 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy 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 row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Class B Ordinary SharesSEC Table II · derivative / convertible securityDirectNot disclosed Reported balance Holding disclosure · report date 2020-12-08 · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote41,582 Reported balance After 2021-07-20 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee Footnote145,918 Reported balance After 2021-07-20 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee Footnote383,514 Reported balance After 2021-07-20 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee Footnote594,583 Reported balance After 2021-07-20 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee Footnote658,943 Reported balance After 2021-07-20 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee Footnote1,345,808 Reported balance After 2021-07-20 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee Footnote2,086,481 Reported balance After 2021-07-20 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee Footnote2,312,331 Reported balance After 2021-07-20 transaction · row 8 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 securityIndirectSee Footnote0 Reported balance After 2021-07-20 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityIndirectSee Footnote0 Reported balance After 2021-07-20 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityIndirectSee Footnote0 Reported balance After 2021-07-20 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityIndirectSee Footnote0 Reported balance After 2021-07-20 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityIndirectSee Footnote0 Reported balance After 2021-07-20 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityIndirectSee Footnote0 Reported balance After 2021-07-20 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Ordinary SharesSEC Table I · non-derivativeDirect9,006 Reported balance After 2020-07-01 transaction · row 1
1 source row

Row 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 securityDirect0 Reported balance After 2020-07-01 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy 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 row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $30.91 · Expires 2036-06-04Direct12,500 Reported balance After 2026-06-04 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $101.00 · Expires 2036-06-14Direct3,772 Reported balance After 2026-06-15 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityDirect1,980 Reported balance After 2026-06-15 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy 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 rows

Row 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 securityIndirectBy 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 row

Row 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 securityIndirectBy 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 row

Row 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 securityIndirectBy 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 row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect5,827,415 Reported balance After 2020-06-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee footnote1 Reported balance Holding disclosure · report date 2020-06-12 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 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-derivativeIndirectSee footnote12,596 Reported balance Holding disclosure · report date 2020-06-12 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 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-derivativeIndirectSee footnote3,912 Reported balance Holding disclosure · report date 2020-06-12 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 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-derivativeIndirectSee footnote14,937 Reported balance Holding disclosure · report date 2020-06-12 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 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.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect2,186,195 Reported balance Holding disclosure · report date 2017-02-14 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 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-derivativeDirect5,925,926 Reported balance Holding disclosure · report date 2017-02-14 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $21.49 · Expires 2031-06-01Direct15,000 Reported balance After 2021-06-02 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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.

Section 16 reporting ended · disclosed 2018-05-15. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote973,612 Reported balance After 2018-05-11 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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.

Section 16 reporting ended · disclosed 2018-06-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect3,190,079 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 rows

Row 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 securityIndirectSee Footnote0 Reported balance After 2018-06-25 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityIndirectSee Footnote0 Reported balance After 2018-06-25 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityIndirectSee Footnote0 Reported balance After 2018-06-25 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect1,299,953 Reported balance After 2020-01-09 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy Patrick J. Heron0 Reported balance After 2025-09-17 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect1,917,157 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 rows

Row 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 securityDirect0 Reported balance After 2020-10-20 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityDirect0 Reported balance After 2020-10-20 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.96 · Expires 2019-06-23Direct0 Reported balance After 2016-11-01 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2025-07-08Direct0 Reported balance After 2016-11-01 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2026-01-12Direct0 Reported balance After 2016-11-01 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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

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

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
September 28, 2018 Filed Oct 3, 2018 01:38 UTC Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 ConversionCommon Stock 251,487 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-053535 · doc4.xml · nonDerivative · entry 2

Frazier Life Sciences VIII, L.P. · CIK 0001655827 · 10% owner

FHM LIFE SCIENCES VIII, L.L.C. · CIK 0001698823 · 10% owner

Heron Patrick J · CIK 0001365617 · 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: 589,194

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.

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 337,707 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-053535 · doc4.xml · nonDerivative · entry 1

Frazier Life Sciences VIII, L.P. · CIK 0001655827 · 10% owner

FHM LIFE SCIENCES VIII, L.L.C. · CIK 0001698823 · 10% owner

Heron Patrick J · CIK 0001365617 · 10% owner

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: 337,707

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.

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
June 25, 2018 Filed Jun 26, 2018 16:56 UTC Aptinyx Inc. APTX · Entity 120922 ConversionSeries B Convertible Preferred Stock · Derivative 21,946,301 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042315 · a4.xml · derivative · entry 7

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: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 795,553 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 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.

F1 · date: 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.

F1 · price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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 · ownership.nature: 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.

Read SEC document
June 25, 2018 Filed Jun 26, 2018 16:56 UTC Aptinyx Inc. APTX · Entity 120922 ConversionSeries A-2 Convertible Preferred Stock · Derivative 33,022,786 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042315 · a4.xml · derivative · entry 6

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: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,197,076 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 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.

F1 · date: 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.

F1 · price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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 · ownership.nature: 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.

Read SEC document
June 25, 2018 Filed Jun 26, 2018 16:56 UTC Aptinyx Inc. APTX · Entity 120922 ConversionSeries A-1 Convertible Preferred Stock · Derivative 28,895,188 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042315 · a4.xml · derivative · entry 5

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: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,047,450 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 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.

F1 · date: 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.

F1 · price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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 · ownership.nature: 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.

Read SEC document
June 25, 2018 Filed Jun 26, 2018 16:56 UTC Aptinyx Inc. APTX · Entity 120922 PurchaseCommon Stock 150,000 $16.00 $2,400,000.00
Disclosure

SEC source: 0001104659-18-042315 · a4.xml · nonDerivative · entry 4

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: 3,190,079

F3 · shares: 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 · ownership.direct: 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.

Read SEC document
June 25, 2018 Filed Jun 26, 2018 16:56 UTC Aptinyx Inc. APTX · Entity 120922 ConversionCommon Stock 795,553 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042315 · a4.xml · nonDerivative · entry 3

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: 3,040,079

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: 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.

F1 · price: 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 · ownership.direct: 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.

Read SEC document
June 25, 2018 Filed Jun 26, 2018 16:56 UTC Aptinyx Inc. APTX · Entity 120922 ConversionCommon Stock 1,197,076 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042315 · a4.xml · nonDerivative · 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: 2,244,526

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: 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.

F1 · price: 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 · ownership.direct: 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.

Read SEC document
June 25, 2018 Filed Jun 26, 2018 16:56 UTC Aptinyx Inc. APTX · Entity 120922 ConversionCommon Stock 1,047,450 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042315 · a4.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: 1,047,450

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: 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.

F1 · price: 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 · ownership.direct: 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.

Read SEC document
May 30, 2018 Filed May 30, 2018 21:15 UTC Iterum Therapeutics plc ITRM · Entity 72802 ConversionSeries B-2 Preferred Shares · Derivative 44,940 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-034197 · doc4.xml · derivative · entry 14

Heron Patrick J · CIK 0001365617 · Director · 10% owner

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Frazier Healthcare VII-A, L.P.

Disclosed balance after: 0

Underlying: Ordinary Shares · 44,940 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 · derivative.exercise_price: The Series B-2 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F4 · derivative.exercise_date: The Series B-2 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F6 · derivative.expiration_date: Not applicable.

F5 · ownership.nature: 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.

Read SEC document
May 30, 2018 Filed May 30, 2018 21:15 UTC Iterum Therapeutics plc ITRM · Entity 72802 ConversionSeries B-1 Preferred Shares · Derivative 53,899 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-034197 · doc4.xml · derivative · entry 13

Heron Patrick J · CIK 0001365617 · Director · 10% owner

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Frazier Healthcare VII-A, L.P.

Disclosed balance after: 0

Underlying: Ordinary Shares · 53,899 shares

Expires not disclosed

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

F3 · derivative.exercise_price: The Series B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F3 · derivative.exercise_date: The Series B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F6 · derivative.expiration_date: Not applicable.

F5 · ownership.nature: 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.

Read SEC document
May 30, 2018 Filed May 30, 2018 21:15 UTC Iterum Therapeutics plc ITRM · Entity 72802 ConversionSeries A Preferred Shares · Derivative 141,166 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-034197 · doc4.xml · derivative · entry 12

Heron Patrick J · CIK 0001365617 · Director · 10% owner

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Frazier Healthcare VII-A, L.P.

Disclosed balance after: 0

Underlying: Ordinary Shares · 141,166 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series A Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F1 · derivative.exercise_date: The Series A Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F6 · derivative.expiration_date: Not applicable.

F5 · ownership.nature: 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.

Read SEC document
May 30, 2018 Filed May 30, 2018 21:15 UTC Iterum Therapeutics plc ITRM · Entity 72802 ConversionSeries B-2 Preferred Shares · Derivative 157,701 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-034197 · doc4.xml · derivative · entry 11

Heron Patrick J · CIK 0001365617 · Director · 10% owner

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Frazier Healthcare VII, L.P.

Disclosed balance after: 0

Underlying: Ordinary Shares · 157,701 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 · derivative.exercise_price: The Series B-2 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F4 · derivative.exercise_date: The Series B-2 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F6 · derivative.expiration_date: Not applicable.

F2 · ownership.nature: 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.

Read SEC document
May 30, 2018 Filed May 30, 2018 21:15 UTC Iterum Therapeutics plc ITRM · Entity 72802 ConversionSeries B-1 Preferred Shares · Derivative 189,141 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-034197 · doc4.xml · derivative · entry 10

Heron Patrick J · CIK 0001365617 · Director · 10% owner

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Frazier Healthcare VII, L.P.

Disclosed balance after: 0

Underlying: Ordinary Shares · 189,141 shares

Expires not disclosed

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

F3 · derivative.exercise_price: The Series B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F3 · derivative.exercise_date: The Series B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F6 · derivative.expiration_date: Not applicable.

F2 · ownership.nature: 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.

Read SEC document
May 30, 2018 Filed May 30, 2018 21:15 UTC Iterum Therapeutics plc ITRM · Entity 72802 ConversionSeries A Preferred Shares · Derivative 495,370 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-034197 · doc4.xml · derivative · entry 9

Heron Patrick J · CIK 0001365617 · Director · 10% owner

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Frazier Healthcare VII, L.P.

Disclosed balance after: 0

Underlying: Ordinary Shares · 495,370 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series A Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F1 · derivative.exercise_date: The Series A Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F6 · derivative.expiration_date: Not applicable.

F2 · ownership.nature: 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.

Read SEC document
May 30, 2018 Filed May 30, 2018 21:15 UTC Iterum Therapeutics plc ITRM · Entity 72802 PurchaseOrdinary Shares 101,150 $13.00 $1,314,950.00
Disclosure

SEC source: 0001209191-18-034197 · doc4.xml · nonDerivative · entry 8

Heron Patrick J · CIK 0001365617 · Director · 10% owner

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Frazier Healthcare VII-A, L.P.

Disclosed balance after: 341,155

F5 · ownership.nature: 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.

Read SEC document
May 30, 2018 Filed May 30, 2018 21:15 UTC Iterum Therapeutics plc ITRM · Entity 72802 ConversionOrdinary Shares 44,940 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-034197 · doc4.xml · nonDerivative · entry 7

Heron Patrick J · CIK 0001365617 · Director · 10% owner

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Frazier Healthcare VII-A, L.P.

Disclosed balance after: 240,005

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 B-2 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F5 · ownership.nature: 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.

Read SEC document
May 30, 2018 Filed May 30, 2018 21:15 UTC Iterum Therapeutics plc ITRM · Entity 72802 ConversionOrdinary Shares 53,899 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-034197 · doc4.xml · nonDerivative · entry 6

Heron Patrick J · CIK 0001365617 · Director · 10% owner

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Frazier Healthcare VII-A, L.P.

Disclosed balance after: 195,065

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 B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F5 · ownership.nature: 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.

Read SEC document
May 30, 2018 Filed May 30, 2018 21:15 UTC Iterum Therapeutics plc ITRM · Entity 72802 ConversionOrdinary Shares 141,166 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-034197 · doc4.xml · nonDerivative · entry 5

Heron Patrick J · CIK 0001365617 · Director · 10% owner

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Frazier Healthcare VII-A, L.P.

Disclosed balance after: 141,166

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 A Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F5 · ownership.nature: 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.

Read SEC document
May 30, 2018 Filed May 30, 2018 21:15 UTC Iterum Therapeutics plc ITRM · Entity 72802 PurchaseOrdinary Shares 354,949 $13.00 $4,614,337.00
Disclosure

SEC source: 0001209191-18-034197 · doc4.xml · nonDerivative · entry 4

Heron Patrick J · CIK 0001365617 · Director · 10% owner

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Frazier Healthcare VII, L.P.

Disclosed balance after: 1,197,161

F2 · ownership.nature: 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.

Read SEC document
May 30, 2018 Filed May 30, 2018 21:15 UTC Iterum Therapeutics plc ITRM · Entity 72802 ConversionOrdinary Shares 157,701 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-034197 · doc4.xml · nonDerivative · entry 3

Heron Patrick J · CIK 0001365617 · Director · 10% owner

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Frazier Healthcare VII, L.P.

Disclosed balance after: 842,212

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 B-2 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F2 · ownership.nature: 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.

Read SEC document
May 30, 2018 Filed May 30, 2018 21:15 UTC Iterum Therapeutics plc ITRM · Entity 72802 ConversionOrdinary Shares 189,141 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-034197 · doc4.xml · nonDerivative · entry 2

Heron Patrick J · CIK 0001365617 · Director · 10% owner

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Frazier Healthcare VII, L.P.

Disclosed balance after: 684,511

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 B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F2 · ownership.nature: 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.

Read SEC document
May 30, 2018 Filed May 30, 2018 21:15 UTC Iterum Therapeutics plc ITRM · Entity 72802 ConversionOrdinary Shares 495,370 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-034197 · doc4.xml · nonDerivative · entry 1

Heron Patrick J · CIK 0001365617 · Director · 10% owner

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Frazier Healthcare VII, L.P.

Disclosed balance after: 495,370

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 A Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer.

F2 · ownership.nature: 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.

Read SEC document
May 24, 2018 Filed May 29, 2018 20:59 UTC Iterum Therapeutics plc ITRM · Entity 72802 GrantRestricted Stock Units · Derivative 6,154 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-033879 · doc4.xml · derivative · entry 1

Heron Patrick J · CIK 0001365617 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,154

Underlying: Ordinary Shares · 6,154 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Ordinary Shares.

F2 · derivative.exercise_date: Subject to the Reporting Person providing continuous service, the RSU shall vest on May 24, 2019.

F2 · derivative.expiration_date: Subject to the Reporting Person providing continuous service, the RSU shall vest on May 24, 2019.

Read SEC document
May 11, 2018 Filed May 15, 2018 18:25 UTC ANAPTYSBIO, INC ANAB · Entity 4640 OtherCommon Stock 1,372,000 $0.00 $0.00
Disclosure

SEC source: 0001012975-18-000437 · edgar.xml · nonDerivative · entry 1

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See Footnote

Disclosed balance after: 973,612

F1 · kind: 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.

F1 · ownership.nature: 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.

Read SEC document
May 11, 2018 Filed May 15, 2018 18:25 UTC ANAPTYSBIO, INC ANAB · Entity 4640 OtherCommon Stock 1,372,000 $0.00 $0.00
Disclosure

SEC source: 0001012975-18-000436 · edgar.xml · nonDerivative · entry 1

Frazier Healthcare V, LP · CIK 0001341169 · 10% owner

FHM V, LP · CIK 0001346948 · 10% owner

FHM V, LLC · CIK 0001346944 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: 973,612

F1 · kind: 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.

F1 · ownership.direct: 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.

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February 02, 2017 Filed Feb 6, 2017 17:14 UTC ANAPTYSBIO, INC ANAB · Entity 4640 OtherWarrants · Derivative 117,235 $0.00 Strike: $4.55 $0.00
Disclosure

SEC source: 0001012975-17-000092 · edgar.xml · derivative · entry 2

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 117,235 shares

Expires 2018-11-04

F1 · derivative.exercise_date: This warrant is exercisable at any time.

F2 · ownership.nature: Represents shares held by Frazier Healthcare V, 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.

Read SEC document
February 02, 2017 Filed Feb 6, 2017 17:14 UTC ANAPTYSBIO, INC ANAB · Entity 4640 OtherCommon Stock 117,235 $4.55 $533,419.25
Disclosure

SEC source: 0001012975-17-000092 · edgar.xml · nonDerivative · entry 1

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See footnote

Disclosed balance after: 2,345,612

F2 · ownership.nature: Represents shares held by Frazier Healthcare V, 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.

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February 02, 2017 Filed Feb 6, 2017 17:14 UTC ANAPTYSBIO, INC ANAB · Entity 4640 OtherWarrants · Derivative 117,235 $0.00 Strike: $4.55 $0.00
Disclosure

SEC source: 0001012975-17-000091 · edgar.xml · derivative · entry 2

Frazier Healthcare V, LP · CIK 0001341169 · 10% owner

FHM V, LP · CIK 0001346948 · 10% owner

FHM V, LLC · CIK 0001346944 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 10% owner

Heron Patrick J · CIK 0001365617 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 117,235 shares

Expires 2018-11-04

F1 · derivative.exercise_date: This warrant is exercisable at any time.

F2 · ownership.direct: Represents shares held by Frazier Healthcare V, 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.

Read SEC document
February 02, 2017 Filed Feb 6, 2017 17:14 UTC ANAPTYSBIO, INC ANAB · Entity 4640 OtherCommon Stock 117,235 $4.55 $533,419.25
Disclosure

SEC source: 0001012975-17-000091 · edgar.xml · nonDerivative · entry 1

Frazier Healthcare V, LP · CIK 0001341169 · 10% owner

FHM V, LP · CIK 0001346948 · 10% owner

FHM V, LLC · CIK 0001346944 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: 2,345,612

F2 · ownership.direct: Represents shares held by Frazier Healthcare V, 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.

Read SEC document
January 31, 2017 Filed Jan 31, 2017 16:20 UTC ANAPTYSBIO, INC ANAB · Entity 4640 ConversionSeries D Preferred Stock · Derivative 209,095 $0.00 $0.00
Disclosure

SEC source: 0001012975-17-000071 · edgar.xml · derivative · entry 12

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 209,095 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 · derivative.exercise_price: The Series D Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series D Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F4 · derivative.exercise_date: The Series D Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series D Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F4 · derivative.expiration_date: The Series D Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series D Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F7 · derivative.underlying_shares: Represents shares held by Frazier Healthcare VII-A, 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.

F7 · ownership.nature: Represents shares held by Frazier Healthcare VII-A, 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.

Read SEC document
January 31, 2017 Filed Jan 31, 2017 16:20 UTC ANAPTYSBIO, INC ANAB · Entity 4640 ConversionSeries D Preferred Stock · Derivative 733,740 $0.00 $0.00
Disclosure

SEC source: 0001012975-17-000071 · edgar.xml · derivative · entry 11

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 10% owner

Heron Patrick J · CIK 0001365617 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 733,740 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 · derivative.exercise_price: The Series D Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series D Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F4 · derivative.exercise_date: The Series D Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series D Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F4 · derivative.expiration_date: The Series D Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series D Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F6 · derivative.underlying_shares: Represents shares held by Frazier Healthcare VII, 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.

F6 · ownership.direct: Represents shares held by Frazier Healthcare VII, 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.

Read SEC document
January 31, 2017 Filed Jan 31, 2017 16:20 UTC ANAPTYSBIO, INC ANAB · Entity 4640 ConversionSeries C-1 Preferred Stock · Derivative 195,751 $0.00 $0.00
Disclosure

SEC source: 0001012975-17-000071 · edgar.xml · derivative · entry 10

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 195,751 shares

Expires not disclosed

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

F3 · derivative.exercise_price: The Series C-1 Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series C-1 Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F3 · derivative.exercise_date: The Series C-1 Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series C-1 Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F3 · derivative.expiration_date: The Series C-1 Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series C-1 Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F5 · derivative.underlying_shares: Represents shares held by Frazier Healthcare V, 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.

F5 · ownership.nature: Represents shares held by Frazier Healthcare V, 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.

Read SEC document
January 31, 2017 Filed Jan 31, 2017 16:20 UTC ANAPTYSBIO, INC ANAB · Entity 4640 ConversionSeries C Preferred Stock · Derivative 604,055 $0.00 $0.00
Disclosure

SEC source: 0001012975-17-000071 · edgar.xml · derivative · entry 9

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 604,055 shares

Expires not disclosed

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

F2 · derivative.exercise_price: The Series C Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series C Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F2 · derivative.exercise_date: The Series C Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series C Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F2 · derivative.expiration_date: The Series C Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series C Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F5 · derivative.underlying_shares: Represents shares held by Frazier Healthcare V, 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.

F5 · ownership.nature: Represents shares held by Frazier Healthcare V, 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.

Read SEC document
January 31, 2017 Filed Jan 31, 2017 16:20 UTC ANAPTYSBIO, INC ANAB · Entity 4640 ConversionSeries B Preferred Stock · Derivative 1,428,571 $0.00 $0.00
Disclosure

SEC source: 0001012975-17-000071 · edgar.xml · derivative · entry 8

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,428,571 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series B Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series B Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F1 · derivative.exercise_date: The Series B Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series B Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F1 · derivative.expiration_date: The Series B Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series B Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F5 · derivative.underlying_shares: Represents shares held by Frazier Healthcare V, 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.

F5 · ownership.nature: Represents shares held by Frazier Healthcare V, 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.

Read SEC document
January 31, 2017 Filed Jan 31, 2017 16:20 UTC ANAPTYSBIO, INC ANAB · Entity 4640 PurchaseCommon Stock 88,709 $15.00 $1,330,635.00
Disclosure

SEC source: 0001012975-17-000071 · edgar.xml · nonDerivative · entry 7

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See footnote

Disclosed balance after: 88,709

F7 · shares: Represents shares held by Frazier Healthcare VII-A, 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.

F7 · ownership.nature: Represents shares held by Frazier Healthcare VII-A, 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.

Read SEC document
January 31, 2017 Filed Jan 31, 2017 16:20 UTC ANAPTYSBIO, INC ANAB · Entity 4640 PurchaseCommon Stock 311,291 $15.00 $4,669,365.00
Disclosure

SEC source: 0001012975-17-000071 · edgar.xml · nonDerivative · entry 6

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: 311,291

F6 · shares: Represents shares held by Frazier Healthcare VII, 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.

F6 · ownership.direct: Represents shares held by Frazier Healthcare VII, 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.

Read SEC document
January 31, 2017 Filed Jan 31, 2017 16:20 UTC ANAPTYSBIO, INC ANAB · Entity 4640 ConversionCommon Stock 209,095 Not disclosed Not disclosed
Disclosure

SEC source: 0001012975-17-000071 · edgar.xml · nonDerivative · entry 5

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See footnote

Disclosed balance after: 209,095

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.

F7 · shares: Represents shares held by Frazier Healthcare VII-A, 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.

F4 · price: The Series D Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series D Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F7 · ownership.nature: Represents shares held by Frazier Healthcare VII-A, 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.

Read SEC document
January 31, 2017 Filed Jan 31, 2017 16:20 UTC ANAPTYSBIO, INC ANAB · Entity 4640 ConversionCommon Stock 733,740 Not disclosed Not disclosed
Disclosure

SEC source: 0001012975-17-000071 · edgar.xml · nonDerivative · entry 4

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: 733,740

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.

F6 · shares: Represents shares held by Frazier Healthcare VII, 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.

F4 · price: The Series D Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series D Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F6 · ownership.direct: Represents shares held by Frazier Healthcare VII, 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.

Read SEC document
January 31, 2017 Filed Jan 31, 2017 16:20 UTC ANAPTYSBIO, INC ANAB · Entity 4640 ConversionCommon Stock 195,751 Not disclosed Not disclosed
Disclosure

SEC source: 0001012975-17-000071 · edgar.xml · nonDerivative · entry 3

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See footnote

Disclosed balance after: 195,751

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.

F5 · shares: Represents shares held by Frazier Healthcare V, 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.

F3 · price: The Series C-1 Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series C-1 Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F5 · ownership.nature: Represents shares held by Frazier Healthcare V, 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.

Read SEC document
January 31, 2017 Filed Jan 31, 2017 16:20 UTC ANAPTYSBIO, INC ANAB · Entity 4640 ConversionCommon Stock 604,055 Not disclosed Not disclosed
Disclosure

SEC source: 0001012975-17-000071 · edgar.xml · nonDerivative · entry 2

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See footnote

Disclosed balance after: 604,055

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.

F5 · shares: Represents shares held by Frazier Healthcare V, 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 · price: The Series C Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series C Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F5 · ownership.nature: Represents shares held by Frazier Healthcare V, 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.

Read SEC document
January 31, 2017 Filed Jan 31, 2017 16:20 UTC ANAPTYSBIO, INC ANAB · Entity 4640 ConversionCommon Stock 1,428,571 Not disclosed Not disclosed
Disclosure

SEC source: 0001012975-17-000071 · edgar.xml · nonDerivative · entry 1

Frazier Healthcare VII, L.P. · CIK 0001553071 · 10% owner

Frazier Healthcare VII-A, L.P. · CIK 0001575192 · 10% owner

FHM VII, L.P. · CIK 0001654632 · 10% owner

FHM VII, L.L.C. · CIK 0001654631 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See footnote

Disclosed balance after: 1,428,571

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.

F5 · shares: Represents shares held by Frazier Healthcare V, 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.

F1 · price: The Series B Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series B Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F5 · ownership.nature: Represents shares held by Frazier Healthcare V, 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.

Read SEC document
January 31, 2017 Filed Jan 31, 2017 16:16 UTC ANAPTYSBIO, INC ANAB · Entity 4640 ConversionSeries D Preferred Stock · Derivative 209,095 $0.00 $0.00
Disclosure

SEC source: 0001012975-17-000069 · edgar.xml · derivative · entry 12

Frazier Healthcare V, LP · CIK 0001341169 · 10% owner

FHM V, LP · CIK 0001346948 · 10% owner

FHM V, LLC · CIK 0001346944 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 209,095 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 · derivative.exercise_price: The Series D Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series D Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F4 · derivative.exercise_date: The Series D Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series D Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F4 · derivative.expiration_date: The Series D Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series D Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F7 · derivative.underlying_shares: Represents shares held by Frazier Healthcare VII-A, 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.

F7 · ownership.nature: Represents shares held by Frazier Healthcare VII-A, 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.

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January 31, 2017 Filed Jan 31, 2017 16:16 UTC ANAPTYSBIO, INC ANAB · Entity 4640 ConversionSeries D Preferred Stock · Derivative 733,740 $0.00 $0.00
Disclosure

SEC source: 0001012975-17-000069 · edgar.xml · derivative · entry 11

Frazier Healthcare V, LP · CIK 0001341169 · 10% owner

FHM V, LP · CIK 0001346948 · 10% owner

FHM V, LLC · CIK 0001346944 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 733,740 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 · derivative.exercise_price: The Series D Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series D Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F4 · derivative.exercise_date: The Series D Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series D Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F4 · derivative.expiration_date: The Series D Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series D Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F6 · derivative.underlying_shares: Represents shares held by Frazier Healthcare VII, 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.

F6 · ownership.nature: Represents shares held by Frazier Healthcare VII, 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.

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January 31, 2017 Filed Jan 31, 2017 16:16 UTC ANAPTYSBIO, INC ANAB · Entity 4640 ConversionSeries C-1 Preferred Stock · Derivative 195,751 $0.00 $0.00
Disclosure

SEC source: 0001012975-17-000069 · edgar.xml · derivative · entry 10

Frazier Healthcare V, LP · CIK 0001341169 · 10% owner

FHM V, LP · CIK 0001346948 · 10% owner

FHM V, LLC · CIK 0001346944 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 10% owner

Heron Patrick J · CIK 0001365617 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 195,751 shares

Expires not disclosed

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

F3 · derivative.exercise_price: The Series C-1 Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series C-1 Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F3 · derivative.exercise_date: The Series C-1 Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series C-1 Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F3 · derivative.expiration_date: The Series C-1 Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series C-1 Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F5 · derivative.underlying_shares: Represents shares held by Frazier Healthcare V, 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.

F5 · ownership.direct: Represents shares held by Frazier Healthcare V, 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.

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January 31, 2017 Filed Jan 31, 2017 16:16 UTC ANAPTYSBIO, INC ANAB · Entity 4640 ConversionSeries C Preferred Stock · Derivative 604,055 $0.00 $0.00
Disclosure

SEC source: 0001012975-17-000069 · edgar.xml · derivative · entry 9

Frazier Healthcare V, LP · CIK 0001341169 · 10% owner

FHM V, LP · CIK 0001346948 · 10% owner

FHM V, LLC · CIK 0001346944 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 10% owner

Heron Patrick J · CIK 0001365617 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 604,055 shares

Expires not disclosed

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

F2 · derivative.exercise_price: The Series C Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series C Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F2 · derivative.exercise_date: The Series C Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series C Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F2 · derivative.expiration_date: The Series C Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series C Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F5 · derivative.underlying_shares: Represents shares held by Frazier Healthcare V, 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.

F5 · ownership.direct: Represents shares held by Frazier Healthcare V, 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.

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January 31, 2017 Filed Jan 31, 2017 16:16 UTC ANAPTYSBIO, INC ANAB · Entity 4640 ConversionSeries B Preferred Stock · Derivative 1,428,571 $0.00 $0.00
Disclosure

SEC source: 0001012975-17-000069 · edgar.xml · derivative · entry 8

Frazier Healthcare V, LP · CIK 0001341169 · 10% owner

FHM V, LP · CIK 0001346948 · 10% owner

FHM V, LLC · CIK 0001346944 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 10% owner

Heron Patrick J · CIK 0001365617 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,428,571 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series B Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series B Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F1 · derivative.exercise_date: The Series B Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series B Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F1 · derivative.expiration_date: The Series B Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series B Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F5 · derivative.underlying_shares: Represents shares held by Frazier Healthcare V, 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.

F5 · ownership.direct: Represents shares held by Frazier Healthcare V, 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.

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January 31, 2017 Filed Jan 31, 2017 16:16 UTC ANAPTYSBIO, INC ANAB · Entity 4640 PurchaseCommon Stock 88,709 $15.00 $1,330,635.00
Disclosure

SEC source: 0001012975-17-000069 · edgar.xml · nonDerivative · entry 7

Frazier Healthcare V, LP · CIK 0001341169 · 10% owner

FHM V, LP · CIK 0001346948 · 10% owner

FHM V, LLC · CIK 0001346944 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See footnote

Disclosed balance after: 88,709

F7 · shares: Represents shares held by Frazier Healthcare VII-A, 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.

F7 · ownership.nature: Represents shares held by Frazier Healthcare VII-A, 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.

Read SEC document
January 31, 2017 Filed Jan 31, 2017 16:16 UTC ANAPTYSBIO, INC ANAB · Entity 4640 PurchaseCommon Stock 311,291 $15.00 $4,669,365.00
Disclosure

SEC source: 0001012975-17-000069 · edgar.xml · nonDerivative · entry 6

Frazier Healthcare V, LP · CIK 0001341169 · 10% owner

FHM V, LP · CIK 0001346948 · 10% owner

FHM V, LLC · CIK 0001346944 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See footnote

Disclosed balance after: 311,291

F6 · shares: Represents shares held by Frazier Healthcare VII, 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.

F6 · ownership.nature: Represents shares held by Frazier Healthcare VII, 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.

Read SEC document
January 31, 2017 Filed Jan 31, 2017 16:16 UTC ANAPTYSBIO, INC ANAB · Entity 4640 ConversionCommon Stock 209,095 Not disclosed Not disclosed
Disclosure

SEC source: 0001012975-17-000069 · edgar.xml · nonDerivative · entry 5

Frazier Healthcare V, LP · CIK 0001341169 · 10% owner

FHM V, LP · CIK 0001346948 · 10% owner

FHM V, LLC · CIK 0001346944 · 10% owner

FRAZIER ALAN D · CIK 0001018534 · 10% owner

Naini Nader J · CIK 0001344203 · 10% owner

Every Nathan R · CIK 0001531105 · 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: Indirect · See footnote

Disclosed balance after: 209,095

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.

F7 · shares: Represents shares held by Frazier Healthcare VII-A, 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.

F4 · price: The Series D Preferred Stock converted into Common Stock on a 1-to-1 basis immediately prior to the consummation of the Issuer's initial public offering without payment of considerations. The Series D Preferred stock were convertible automatically immediately prior to the consummation of the Issuer's initial public offering, and the shares had no expiration date.

F7 · ownership.nature: Represents shares held by Frazier Healthcare VII-A, 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.

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