Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ArriVent BioPharma, Inc.AVBP · Entity 4699 | Director | January 30, 2024 | January 31, 2024 |
| BioAge Labs, Inc.BIOA · Entity 5569 | Director | June 10, 2026 | June 12, 2026 |
| Bolt Biotherapeutics, Inc.BOLT · Entity 8082 | Director | June 12, 2024 | June 14, 2024 |
| Checkmate Pharmaceuticals, Inc.CMPI · Entity 126718 | 10% owner | August 11, 2020 | August 12, 2020 |
| Coherus Oncology, Inc.CHRS · Entity 6276 | Director | January 07, 2022 | February 11, 2022 |
| Entasis Therapeutics Holdings Inc.ETTX · Entity 16036 | 10% owner | September 28, 2018 | October 02, 2018 |
| Galera Therapeutics, Inc.GRTX · Entity 15899 | 10% owner | November 12, 2019 | November 12, 2019 |
| Jade Biosciences, Inc.AVTE · Entity 4757 | 10% owner | July 02, 2021 | July 06, 2021 |
| Natera, Inc.NTRA · Entity 2635 | Director | April 25, 2025 | April 29, 2025 |
| PDS Biotechnology CorpEDGE · Entity 7939 | Director | June 20, 2017 | June 21, 2017 |
| Principia Biopharma Inc.PRNB · Entity 146423 | 10% owner | September 18, 2018 | September 20, 2018 |
| Rapport Therapeutics, Inc.RAPP · Entity 4394 | Director | June 10, 2026 | June 10, 2026 |
| Seaport Therapeutics, Inc.SPTX · Entity 4799 | Director | May 04, 2026 | May 04, 2026 |
| Vera Therapeutics, Inc.VERA · Entity 4358 | 10% owner | February 06, 2023 | February 08, 2023 |
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.
ArriVent BioPharma, Inc.
Report date January 30, 2024 · Filed January 31, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSofinnova Venture Partners XI, L.P. | 1,696,752 |
Last balance in matching sequence
After 2024-01-30 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2024-01-30 · Conversion · Acquired 1,252,308 · Balance 1,252,308 F1: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 1-for-15.21 basis. F2: The shares are directly held by Sofinnova Venture Partners XI, L.P. ("SVP XI"). Sofinnova Management XI, L.P. ("SM XI LP") is the general partner of SVP XI and Sofinnova Management XI, L.L.C. ("SM XI") is the general partner of SM XI LP. The Reporting Person is a managing member of SM XI and may be deemed to share voting and dispositive power over the shares held by SVP XI. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. Row 2 · 2024-01-30 · Purchase · Acquired 444,444 · Balance 1,696,752 F3: Reflects shares purchased in the Issuer's initial public offering. F2: The shares are directly held by Sofinnova Venture Partners XI, L.P. ("SVP XI"). Sofinnova Management XI, L.P. ("SM XI LP") is the general partner of SVP XI and Sofinnova Management XI, L.L.C. ("SM XI") is the general partner of SM XI LP. The Reporting Person is a managing member of SM XI and may be deemed to share voting and dispositive power over the shares held by SVP XI. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSofinnova Venture Partners XI, L.P. | 0 |
Reported balance
After 2024-01-30 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-01-30 · Conversion · Disposed 1,252,308 · Balance 0 F1: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 1-for-15.21 basis. F4: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering. F5: Not applicable. F2: The shares are directly held by Sofinnova Venture Partners XI, L.P. ("SVP XI"). Sofinnova Management XI, L.P. ("SM XI LP") is the general partner of SVP XI and Sofinnova Management XI, L.L.C. ("SM XI") is the general partner of SM XI LP. The Reporting Person is a managing member of SM XI and may be deemed to share voting and dispositive power over the shares held by SVP XI. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 1-for-15.21 basis.
F2: The shares are directly held by Sofinnova Venture Partners XI, L.P. ("SVP XI"). Sofinnova Management XI, L.P. ("SM XI LP") is the general partner of SVP XI and Sofinnova Management XI, L.L.C. ("SM XI") is the general partner of SM XI LP. The Reporting Person is a managing member of SM XI and may be deemed to share voting and dispositive power over the shares held by SVP XI. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.
F3: Reflects shares purchased in the Issuer's initial public offering.
F4: The shares of preferred stock were convertible into the Issuer's common stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering.
F5: Not applicable.
BioAge Labs, Inc.
Report date June 10, 2026 · Filed June 12, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.48 · Expires 2036-06-09 | Direct | 22,000 |
Reported balance
After 2026-06-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-10 · Grant · Acquired 22,000 · Balance 22,000 F1: The entire option award shall vest on the earlier of: (i) the date of the next annual meeting of the Issuer's stockholders or (ii) the one year anniversary of the grant date, subject to the reporting person's continued service to the Issuer on the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The entire option award shall vest on the earlier of: (i) the date of the next annual meeting of the Issuer's stockholders or (ii) the one year anniversary of the grant date, subject to the reporting person's continued service to the Issuer on the applicable vesting date.
Bolt Biotherapeutics, Inc.
Report date June 12, 2024 · Filed June 14, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.77 · Expires 2034-06-11 | Direct | 22,000 |
Reported balance
After 2024-06-12 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-06-12 · Grant · Acquired 22,000 · Balance 22,000 F1: The shares subject to the option will vest on the earlier of June 12, 2025 or the day immediately prior to the next annual meeting of stockholders, subject to the Reporting Person's continuous service through such date; provided, however that the option will vest in full upon a change in control of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option will vest on the earlier of June 12, 2025 or the day immediately prior to the next annual meeting of stockholders, subject to the Reporting Person's continuous service through such date; provided, however that the option will vest in full upon a change in control of the Issuer.
Checkmate Pharmaceuticals, Inc.
Report date August 11, 2020 · Filed August 12, 2020
Jointly reported with POWELL MICHAEL, Sofinnova Venture Partners IX, L.P., Sofinnova Management IX, L.L.C.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,606,707 |
Last balance in matching sequence
After 2020-08-11 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-08-11 · Conversion · Acquired 3,473,374 · Balance 3,473,374 F1: The Series A Preferred Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Series B Preferred Stock automatically converted into Common Stock at a rate of 1.12256:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. Row 2 · 2020-08-11 · Purchase · Acquired 133,333 · Balance 3,606,707 F3: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-08-11 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-08-11 · Conversion · Disposed 12,500,000 · Balance 0 F1: The Series A Preferred Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-08-11 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-08-11 · Conversion · Disposed 8,753,350 · Balance 0 F2: The Series B Preferred Stock automatically converted into Common Stock at a rate of 1.12256:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-08-11 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-08-11 · Conversion · Disposed 3,644,624 · Balance 0 F1: The Series A Preferred Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series A Preferred Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
F2: The Series B Preferred Stock automatically converted into Common Stock at a rate of 1.12256:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
F3: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any.
Coherus Oncology, Inc.
Report date January 07, 2022 · Filed February 11, 2022 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.67 · Expires 2032-01-07 | Direct | 27,000 |
Reported balance
After 2022-01-07 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2022-01-07 · Grant · Acquired 27,000 · Balance 27,000 F1: The Form 4/A is being filed solely to correct a typographical error in the exercise price. Except as noted in this footnote, all other information as disclosed in the Reporting Person's original Form 4 was accurately reported. F2: The underlying shares subject to the option vest and become exercisable as to 1/12th of the total number of shares subject to the option in successive, equal monthly installments measured from January 1, 2022, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The Form 4/A is being filed solely to correct a typographical error in the exercise price. Except as noted in this footnote, all other information as disclosed in the Reporting Person's original Form 4 was accurately reported.
F2: The underlying shares subject to the option vest and become exercisable as to 1/12th of the total number of shares subject to the option in successive, equal monthly installments measured from January 1, 2022, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.
Entasis Therapeutics Holdings Inc.
Report date September 28, 2018 · Filed October 02, 2018
Jointly reported with Sofinnova Venture Partners IX, L.P., Sofinnova Management IX, L.L.C., Mehra Anand, POWELL MICHAEL
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 359,267 |
Reported balance
After 2018-09-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-09-28 · Conversion · Acquired 359,267 · Balance 359,267 F1: Each share of 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: The reportable shares are held of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Sofinnova Management IX, L.L.C. ("SM IX") is the general partner of SVP IX. The individual managing members of SM IX are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP IX. Such persons and entities disclaim beneficial ownership over the shares held by SVP IX except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 842,454 |
Reported balance
After 2018-09-28 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-09-28 · Conversion · Acquired 458,425 · Balance 842,454 F1: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3: This number includes an aggregate of 24,762 shares of Common Stock received upon the conversion of the Issuer's Preferred Stock as payment of the accrued dividends through September 27, 2018. No dividends will accrue after September 27, 2018. F2: The reportable shares are held of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Sofinnova Management IX, L.L.C. ("SM IX") is the general partner of SVP IX. The individual managing members of SM IX are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP IX. Such persons and entities disclaim beneficial ownership over the shares held by SVP IX except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 1,180,178 |
Reported balance
After 2018-09-28 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2018-09-28 · Purchase · Acquired 337,724 · Balance 1,180,178 F2: The reportable shares are held of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Sofinnova Management IX, L.L.C. ("SM IX") is the general partner of SVP IX. The individual managing members of SM IX are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP IX. Such persons and entities disclaim beneficial ownership over the shares held by SVP IX except to the extent of any pecuniary interest therein. |
| Series B-1 Tranche A Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-09-28 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-09-28 · Conversion · Disposed 7,446,904 · Balance 0 F1: Each share of 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: The reportable shares are held of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Sofinnova Management IX, L.L.C. ("SM IX") is the general partner of SVP IX. The individual managing members of SM IX are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP IX. Such persons and entities disclaim beneficial ownership over the shares held by SVP IX except to the extent of any pecuniary interest therein. |
| Series B-1 Tranche B Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-09-28 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-09-28 · Conversion · Disposed 9,502,249 · Balance 0 F1: Each share of 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: The reportable shares are held of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Sofinnova Management IX, L.L.C. ("SM IX") is the general partner of SVP IX. The individual managing members of SM IX are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP IX. Such persons and entities disclaim beneficial ownership over the shares held by SVP IX except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of 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: The reportable shares are held of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Sofinnova Management IX, L.L.C. ("SM IX") is the general partner of SVP IX. The individual managing members of SM IX are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP IX. Such persons and entities disclaim beneficial ownership over the shares held by SVP IX except to the extent of any pecuniary interest therein.
F3: This number includes an aggregate of 24,762 shares of Common Stock received upon the conversion of the Issuer's Preferred Stock as payment of the accrued dividends through September 27, 2018. No dividends will accrue after September 27, 2018.
Galera Therapeutics, Inc.
Report date November 12, 2019 · Filed November 12, 2019
Jointly reported with Sofinnova Venture Partners IX, L.P., Sofinnova Management IX, L.L.C., POWELL MICHAEL, Mehra Anand
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,083,712 |
Last balance in matching sequence
After 2019-11-12 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2019-11-12 · Conversion · Acquired 2,333,712 · Balance 2,333,712 F1: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis. F2: The shares reported herein are held of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Dr. Michael F. Powell, Dr. James Healy and Dr. Anand Mehra are the managing members of Sofinnova Management IX, L.L.C., the general partner of SVP IX, and as such, may be deemed to share voting and investment power with respect to such shares. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of such reporting person's pecuniary interest therein. Row 2 · 2019-11-12 · Purchase · Acquired 750,000 · Balance 3,083,712 F2: The shares reported herein are held of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Dr. Michael F. Powell, Dr. James Healy and Dr. Anand Mehra are the managing members of Sofinnova Management IX, L.L.C., the general partner of SVP IX, and as such, may be deemed to share voting and investment power with respect to such shares. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of such reporting person's pecuniary interest therein. |
| Series B-2 Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-11-12 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-11-12 · Conversion · Disposed 9,090,909 · Balance 0 F1: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis. F2: The shares reported herein are held of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Dr. Michael F. Powell, Dr. James Healy and Dr. Anand Mehra are the managing members of Sofinnova Management IX, L.L.C., the general partner of SVP IX, and as such, may be deemed to share voting and investment power with respect to such shares. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of such reporting person's pecuniary interest therein. |
| Series C Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-11-12 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-11-12 · Conversion · Disposed 2,709,659 · Balance 0 F1: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis. F2: The shares reported herein are held of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Dr. Michael F. Powell, Dr. James Healy and Dr. Anand Mehra are the managing members of Sofinnova Management IX, L.L.C., the general partner of SVP IX, and as such, may be deemed to share voting and investment power with respect to such shares. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of such reporting person's pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis.
F2: The shares reported herein are held of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Dr. Michael F. Powell, Dr. James Healy and Dr. Anand Mehra are the managing members of Sofinnova Management IX, L.L.C., the general partner of SVP IX, and as such, may be deemed to share voting and investment power with respect to such shares. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of such reporting person's pecuniary interest therein.
Jade Biosciences, Inc.
Report date July 02, 2021 · Filed July 06, 2021
Jointly reported with Sofinnova Venture Partners X, L.P., Sofinnova Management X, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,758,686 |
Last balance in matching sequence
After 2021-07-02 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-07-02 · Conversion · Acquired 3,401,544 · Balance 3,401,544 F1: Each share of Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.1060103 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the Reporting Persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Row 2 · 2021-07-02 · Purchase · Acquired 357,142 · Balance 3,758,686 F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the Reporting Persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-07-02 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-07-02 · Conversion · Disposed 10,565,238 · Balance 0 F1: Each share of Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.1060103 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the Reporting Persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.1060103 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date.
F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the Reporting Persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein.
Natera, Inc.
Report date April 25, 2025 · Filed April 29, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 46,260 |
Reported balance
After 2025-04-25 transaction · row 1
1 source rowRow 1 · 2025-04-25 · Grant · Acquired 142 · Balance 46,260 F1: Represents the issuance of Restricted Stock Units ("RSUs") to the Reporting Person in lieu of quarterly retainer fees of $20,625 for service on the Issuer's Board of Directors. The RSUs were fully vested at the time of issuance. F2: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. |
| Common StockSEC Table I · non-derivative | Indirectby Sofinnova Venture Partners IX, L.P. | 1,550,280 |
Reported balance
Holding disclosure · report date 2025-04-25 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,550,280 F3: The Reporting Person is a managing member of Sofinnova Management IX, L.L.C. ("Sofinnova Management IX"). Sofinnova Management IX is the general partner of Sofinnova Venture Partners IX, L.P . The Reporting Person disclaims beneficial ownership of these 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 purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the issuance of Restricted Stock Units ("RSUs") to the Reporting Person in lieu of quarterly retainer fees of $20,625 for service on the Issuer's Board of Directors. The RSUs were fully vested at the time of issuance.
F2: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.
F3: The Reporting Person is a managing member of Sofinnova Management IX, L.L.C. ("Sofinnova Management IX"). Sofinnova Management IX is the general partner of Sofinnova Venture Partners IX, L.P . The Reporting Person disclaims beneficial ownership of these 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 purpose.
PDS Biotechnology Corp
Report date June 20, 2017 · Filed June 21, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right To Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $10.15 · Expires 2027-06-20 | Direct | 15,000 |
Reported balance
After 2017-06-20 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-06-20 · Grant · Acquired 15,000 · Balance 15,000 |
Principia Biopharma Inc.
Report date September 18, 2018 · Filed September 20, 2018
Jointly reported with Sofinnova Venture Partners VIII, L.P., Sofinnova Management VIII, L.L.C., POWELL MICHAEL, Mehra Anand
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,038,208 |
Last balance in matching sequence
After 2018-09-18 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 1 · 2018-09-18 · Conversion · Acquired 625,482 · Balance 625,482 F1: Each share of the Series B-1 Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock. F2: The shares are held of record by Sofinnova Venture Partners VIII, L.P. ("SVP VIII"). Sofinnova Management VIII, L.L.C. ("SM VIII") is the general partner of SVP VIII. The individual managing members of SM VIII are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP VIII. Such persons and entities disclaim beneficial ownership over the shares held by SVP VIII except to the extent of any pecuniary interest therein. Row 2 · 2018-09-18 · Conversion · Acquired 521,235 · Balance 1,146,717 F3: Each share of the Series B-2 Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock. F2: The shares are held of record by Sofinnova Venture Partners VIII, L.P. ("SVP VIII"). Sofinnova Management VIII, L.L.C. ("SM VIII") is the general partner of SVP VIII. The individual managing members of SM VIII are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP VIII. Such persons and entities disclaim beneficial ownership over the shares held by SVP VIII except to the extent of any pecuniary interest therein. Row 3 · 2018-09-18 · Conversion · Acquired 453,954 · Balance 1,600,671 F4: Each share of the Series B-3 Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock. F2: The shares are held of record by Sofinnova Venture Partners VIII, L.P. ("SVP VIII"). Sofinnova Management VIII, L.L.C. ("SM VIII") is the general partner of SVP VIII. The individual managing members of SM VIII are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP VIII. Such persons and entities disclaim beneficial ownership over the shares held by SVP VIII except to the extent of any pecuniary interest therein. Row 4 · 2018-09-18 · Conversion · Acquired 167,537 · Balance 1,768,208 F5: Each share of the Series C Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock. F2: The shares are held of record by Sofinnova Venture Partners VIII, L.P. ("SVP VIII"). Sofinnova Management VIII, L.L.C. ("SM VIII") is the general partner of SVP VIII. The individual managing members of SM VIII are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP VIII. Such persons and entities disclaim beneficial ownership over the shares held by SVP VIII except to the extent of any pecuniary interest therein. Row 5 · 2018-09-18 · Purchase · Acquired 270,000 · Balance 2,038,208 F2: The shares are held of record by Sofinnova Venture Partners VIII, L.P. ("SVP VIII"). Sofinnova Management VIII, L.L.C. ("SM VIII") is the general partner of SVP VIII. The individual managing members of SM VIII are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP VIII. Such persons and entities disclaim beneficial ownership over the shares held by SVP VIII except to the extent of any pecuniary interest therein. |
| Series B-1 Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-09-18 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-09-18 · Conversion · Disposed 625,482 · Balance 0 F1: Each share of the Series B-1 Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock. F2: The shares are held of record by Sofinnova Venture Partners VIII, L.P. ("SVP VIII"). Sofinnova Management VIII, L.L.C. ("SM VIII") is the general partner of SVP VIII. The individual managing members of SM VIII are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP VIII. Such persons and entities disclaim beneficial ownership over the shares held by SVP VIII except to the extent of any pecuniary interest therein. |
| Series B-2 Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-09-18 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-09-18 · Conversion · Disposed 521,235 · Balance 0 F3: Each share of the Series B-2 Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock. F2: The shares are held of record by Sofinnova Venture Partners VIII, L.P. ("SVP VIII"). Sofinnova Management VIII, L.L.C. ("SM VIII") is the general partner of SVP VIII. The individual managing members of SM VIII are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP VIII. Such persons and entities disclaim beneficial ownership over the shares held by SVP VIII except to the extent of any pecuniary interest therein. |
| Series B-3 Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-09-18 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-09-18 · Conversion · Disposed 453,954 · Balance 0 F4: Each share of the Series B-3 Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock. F2: The shares are held of record by Sofinnova Venture Partners VIII, L.P. ("SVP VIII"). Sofinnova Management VIII, L.L.C. ("SM VIII") is the general partner of SVP VIII. The individual managing members of SM VIII are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP VIII. Such persons and entities disclaim beneficial ownership over the shares held by SVP VIII except to the extent of any pecuniary interest therein. |
| Series C Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-09-18 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2018-09-18 · Conversion · Disposed 167,537 · Balance 0 F5: Each share of the Series C Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock. F2: The shares are held of record by Sofinnova Venture Partners VIII, L.P. ("SVP VIII"). Sofinnova Management VIII, L.L.C. ("SM VIII") is the general partner of SVP VIII. The individual managing members of SM VIII are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP VIII. Such persons and entities disclaim beneficial ownership over the shares held by SVP VIII except to the extent of any pecuniary interest therein. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Expires 2022-12-29 | Direct | 20,938 |
Reported balance
Holding disclosure · report date 2018-09-18 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 20,938 F6: This warrant has converted from a warrant to purchase Series B-3 Convertible Preferred Stock into a warrant to purchase Common Stock. F7: This warrant is exercisable at any time. F4: Each share of the Series B-3 Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock. F2: The shares are held of record by Sofinnova Venture Partners VIII, L.P. ("SVP VIII"). Sofinnova Management VIII, L.L.C. ("SM VIII") is the general partner of SVP VIII. The individual managing members of SM VIII are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP VIII. Such persons and entities disclaim beneficial ownership over the shares held by SVP VIII except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the Series B-1 Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock.
F2: The shares are held of record by Sofinnova Venture Partners VIII, L.P. ("SVP VIII"). Sofinnova Management VIII, L.L.C. ("SM VIII") is the general partner of SVP VIII. The individual managing members of SM VIII are Michael Powell, James Healy and Anand Mehra, and they may be deemed to share voting and dispositive power over the shares held by SVP VIII. Such persons and entities disclaim beneficial ownership over the shares held by SVP VIII except to the extent of any pecuniary interest therein.
F3: Each share of the Series B-2 Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock.
F4: Each share of the Series B-3 Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock.
F5: Each share of the Series C Preferred Stock converted immediately upon the closing of the Issuer's initial public offering of its common stock into 1 share of the Issuer's common stock.
F6: This warrant has converted from a warrant to purchase Series B-3 Convertible Preferred Stock into a warrant to purchase Common Stock.
F7: This warrant is exercisable at any time.
Rapport Therapeutics, Inc.
Report date June 10, 2026 · Filed June 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $35.21 · Expires 2036-06-10 | Direct | 15,200 |
Reported balance
After 2026-06-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-10 · Grant · Acquired 15,200 · Balance 15,200 F1: The shares underlying this option shall vest upon the earlier of (i) June 10, 2027 and (ii) the date of the next Annual Meeting of Stockholders of the Issuer, subject to the Reporting Person's continued service on such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares underlying this option shall vest upon the earlier of (i) June 10, 2027 and (ii) the date of the next Annual Meeting of Stockholders of the Issuer, subject to the Reporting Person's continued service on such vesting date.
Seaport Therapeutics, Inc.
Report date May 04, 2026 · Filed May 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Sofinnova Venture Partners XI, L.P. | 2,731,538 |
Last balance in matching sequence
After 2026-05-04 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2026-05-04 · Conversion · Acquired 1,927,159 · Balance 1,927,159 F1: Each share of Series A-2 and Series B Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock of the Issuer on a one-for-3.1407 basis at the option of the holder, and automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration. The Preferred Stock had no expiration date. F2: These shares are directly held by Sofinnova Venture Partners XI, L.P. ("SVP XI"). Sofinnova Management XI, L.P. ("SM XI LP") is the general partner of SVP XI, and Sofinnova Management XI, L.L.C. ("SM XI") is the general partner of SM XI LP. The Reporting Person is a managing member of SM XI and may be deemed to share voting and investment discretion with respect to securities directly held by SVP XI. The Reporting Person disclaims beneficial ownership of the securities directly held by SVP XI. This report shall not be construed as an admission that he is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose, except to the extent of his pecuniary interest therein, if any. Row 2 · 2026-05-04 · Conversion · Acquired 804,379 · Balance 2,731,538 F1: Each share of Series A-2 and Series B Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock of the Issuer on a one-for-3.1407 basis at the option of the holder, and automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration. The Preferred Stock had no expiration date. F2: These shares are directly held by Sofinnova Venture Partners XI, L.P. ("SVP XI"). Sofinnova Management XI, L.P. ("SM XI LP") is the general partner of SVP XI, and Sofinnova Management XI, L.L.C. ("SM XI") is the general partner of SM XI LP. The Reporting Person is a managing member of SM XI and may be deemed to share voting and investment discretion with respect to securities directly held by SVP XI. The Reporting Person disclaims beneficial ownership of the securities directly held by SVP XI. This report shall not be construed as an admission that he is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose, except to the extent of his pecuniary interest therein, if any. |
| Series A-2 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Sofinnova Venture Partners XI, L.P. | 0 |
Reported balance
After 2026-05-04 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-05-04 · Conversion · Disposed 6,052,631 · Balance 0 F1: Each share of Series A-2 and Series B Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock of the Issuer on a one-for-3.1407 basis at the option of the holder, and automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration. The Preferred Stock had no expiration date. F2: These shares are directly held by Sofinnova Venture Partners XI, L.P. ("SVP XI"). Sofinnova Management XI, L.P. ("SM XI LP") is the general partner of SVP XI, and Sofinnova Management XI, L.L.C. ("SM XI") is the general partner of SM XI LP. The Reporting Person is a managing member of SM XI and may be deemed to share voting and investment discretion with respect to securities directly held by SVP XI. The Reporting Person disclaims beneficial ownership of the securities directly held by SVP XI. This report shall not be construed as an admission that he is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose, except to the extent of his pecuniary interest therein, if any. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Sofinnova Venture Partners XI, L.P. | 0 |
Reported balance
After 2026-05-04 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-05-04 · Conversion · Disposed 2,526,315 · Balance 0 F1: Each share of Series A-2 and Series B Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock of the Issuer on a one-for-3.1407 basis at the option of the holder, and automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration. The Preferred Stock had no expiration date. F2: These shares are directly held by Sofinnova Venture Partners XI, L.P. ("SVP XI"). Sofinnova Management XI, L.P. ("SM XI LP") is the general partner of SVP XI, and Sofinnova Management XI, L.L.C. ("SM XI") is the general partner of SM XI LP. The Reporting Person is a managing member of SM XI and may be deemed to share voting and investment discretion with respect to securities directly held by SVP XI. The Reporting Person disclaims beneficial ownership of the securities directly held by SVP XI. This report shall not be construed as an admission that he is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose, except to the extent of his pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A-2 and Series B Preferred Stock (collectively, the "Preferred Stock") was convertible into Common Stock of the Issuer on a one-for-3.1407 basis at the option of the holder, and automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration. The Preferred Stock had no expiration date.
F2: These shares are directly held by Sofinnova Venture Partners XI, L.P. ("SVP XI"). Sofinnova Management XI, L.P. ("SM XI LP") is the general partner of SVP XI, and Sofinnova Management XI, L.L.C. ("SM XI") is the general partner of SM XI LP. The Reporting Person is a managing member of SM XI and may be deemed to share voting and investment discretion with respect to securities directly held by SVP XI. The Reporting Person disclaims beneficial ownership of the securities directly held by SVP XI. This report shall not be construed as an admission that he is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose, except to the extent of his pecuniary interest therein, if any.
Vera Therapeutics, Inc.
Report date February 06, 2023 · Filed February 08, 2023
Jointly reported with Sofinnova Venture Partners X, L.P., Sofinnova Management X, L.P., Katabi Maha, Sofinnova Management X-A, L.L.C.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 3,467,156 |
Reported balance
After 2023-02-06 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-02-06 · Purchase · Acquired 285,714 · Balance 3,467,156 F1: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.P. ("SM X LP") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. Sofinnova Management X-A, L.L.C. ("SM X LLC") is the general partner of SVP X LP and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the Reporting Persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.P. ("SM X LP") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. Sofinnova Management X-A, L.L.C. ("SM X LLC") is the general partner of SVP X LP and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the Reporting Persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein.
Past disclosures · reporting ended (8)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Akouos, Inc.
Report date June 30, 2020 · Filed July 01, 2020
Jointly reported with Sofinnova Venture Partners X, L.P., Sofinnova Management X, L.P., Katabi Maha, POWELL MICHAEL
Section 16 reporting ended · disclosed 2020-07-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,515,073 |
Last balance in matching sequence
After 2020-06-30 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2020-06-30 · Conversion · Acquired 856,262 · Balance 856,262 F1: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series A Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series A Preferred Stock had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Row 2 · 2020-06-30 · Conversion · Acquired 599,988 · Balance 1,456,250 F3: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series B Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series B Preferred Stock had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Row 3 · 2020-06-30 · Purchase · Acquired 58,823 · Balance 1,515,073 F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-06-30 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-06-30 · Conversion · Disposed 18,044,028 · Balance 0 F1: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series A Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series A Preferred Stock had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-06-30 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-06-30 · Conversion · Disposed 12,643,557 · Balance 0 F3: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series B Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series B Preferred Stock had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series A Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series A Preferred Stock had no expiration date.
F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein.
F3: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series B Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series B Preferred Stock had no expiration date.
CinCor Pharma, Inc.
Report date November 28, 2022 · Filed February 27, 2023
Jointly reported with Katabi Maha, Sofinnova Management X, L.P., Sofinnova Management X-A, L.L.C., Sofinnova Venture Partners X, L.P.
Section 16 reporting ended · disclosed 2023-02-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Sofinnova Synergy Master Fund, LP | 0 |
Reported balance
After 2022-11-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-11-28 · Sale · Disposed 6,000 · Balance 0 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.30 to $14.35 inclusive. Dr. Healy 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. F2: The shares are directly held by Sofinnova Synergy Master Fund, LP (the "Synergy Fund"). Sofinnova Synergy Fund GP, LLC (the "Synergy Fund GP"), the general partner of the Syngery Fund, may be deemed to have sole voting and dispositive power over such shares. Dr. Healy is a managing member of the Synergy Fund GP and may be deemed to share voting and dispositive power over the shares held by the Synergy Fund. Dr. Healy disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 19,608 |
Reported balance
After 2023-02-24 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-02-24 · Other · Disposed 9,803 · Balance 19,608 F3: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (4)] F4: [continues from footnote (3)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-02-24 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-02-24 · Disposition to issuer · Disposed 19,608 · Balance 0 F5: This line item represents Shares of common stock held by the Dr. Healy that were acquired pursuant to the exercise of an early-exercise option and remain subject to a right of repurchase by the Issuer. At the effective time of the Merger, pursuant to the Merger Agreement, except as otherwise set forth in the Merger Agreement, each Share issued upon early exercise of an option that is subject to vesting, repurchase or other lapse restrictions was accelerated and became fully vested and was cancelled and automatically converted into the right to receive, without interest, the Offer Price. |
| Common StockSEC Table I · non-derivative | IndirectBy Sofinnova Venture Partners X, L.P. | 0 |
Reported balance
After 2023-02-24 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2023-02-24 · Other · Disposed 6,073,949 · Balance 0 F3: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (4)] F4: [continues from footnote (3)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F6: The shares are directly held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.P. ("SM X LP") is the general partner of SVP X and may be deemed to have sole voting and dispositive power over the shares held by SVP X. Sofinnova Management X-A, L.L.C. ("SM X LLC") is the general partner of SVP X LP and may be deemed to have sole voting and dispositive power over the shares held by SVP X. Dr. Healy and Dr. Katabi are the managing member of SM X LLC and may be deemed to have shared voting and dispositive power over the shares held by SVP X. Each of Dr. Healy and Dr. Katabi disclaims beneficial ownership of such shares, except to the extent of his or her pecuniary interest therein. |
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 $14.30 to $14.35 inclusive. Dr. Healy 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.
F2: The shares are directly held by Sofinnova Synergy Master Fund, LP (the "Synergy Fund"). Sofinnova Synergy Fund GP, LLC (the "Synergy Fund GP"), the general partner of the Syngery Fund, may be deemed to have sole voting and dispositive power over such shares. Dr. Healy is a managing member of the Synergy Fund GP and may be deemed to share voting and dispositive power over the shares held by the Synergy Fund. Dr. Healy disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F3: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (4)]
F4: [continues from footnote (3)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price.
F5: This line item represents Shares of common stock held by the Dr. Healy that were acquired pursuant to the exercise of an early-exercise option and remain subject to a right of repurchase by the Issuer. At the effective time of the Merger, pursuant to the Merger Agreement, except as otherwise set forth in the Merger Agreement, each Share issued upon early exercise of an option that is subject to vesting, repurchase or other lapse restrictions was accelerated and became fully vested and was cancelled and automatically converted into the right to receive, without interest, the Offer Price.
F6: The shares are directly held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.P. ("SM X LP") is the general partner of SVP X and may be deemed to have sole voting and dispositive power over the shares held by SVP X. Sofinnova Management X-A, L.L.C. ("SM X LLC") is the general partner of SVP X LP and may be deemed to have sole voting and dispositive power over the shares held by SVP X. Dr. Healy and Dr. Katabi are the managing member of SM X LLC and may be deemed to have shared voting and dispositive power over the shares held by SVP X. Each of Dr. Healy and Dr. Katabi disclaims beneficial ownership of such shares, except to the extent of his or her pecuniary interest therein.
Inozyme Pharma, Inc.
Report date July 28, 2020 · Filed July 28, 2020
Jointly reported with Sofinnova Venture Partners X, L.P., Sofinnova Management X, L.P., Katabi Maha, POWELL MICHAEL
Section 16 reporting ended · disclosed 2020-07-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,028,308 |
Last balance in matching sequence
After 2020-07-28 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-07-28 · Conversion · Acquired 1,590,808 · Balance 1,590,808 F1: On July 28, 2020, the Series A-2 Convertible Preferred Stock automatically converted into Common Stock on a 7.4730-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Row 2 · 2020-07-28 · Purchase · Acquired 437,500 · Balance 2,028,308 F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
| Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-07-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-07-28 · Conversion · Disposed 11,888,112 · Balance 0 F1: On July 28, 2020, the Series A-2 Convertible Preferred Stock automatically converted into Common Stock on a 7.4730-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On July 28, 2020, the Series A-2 Convertible Preferred Stock automatically converted into Common Stock on a 7.4730-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein.
Iterum Therapeutics plc
Report date June 01, 2020 · Filed June 03, 2020
Jointly reported with Sofinnova Venture Partners IX, L.P., Sofinnova Management IX, L.L.C., POWELL MICHAEL
Section 16 reporting ended · disclosed 2020-06-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 1,226,514 |
Last balance in matching sequence
After 2020-06-02 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-06-01 · Sale · Disposed 100,000 · Balance 1,626,514 F1: The price realized by the reporting person from the sales reported in Table I of this Form 4 is less than the market price of the Issuer's Ordinary Shares on the date of any purchase transaction that is potentially matchable during the previous six months. Thus, no short-swing profit is recoverable for purposes of Section 16(b). F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.69 to $1.70, 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 (2) to this Form 4. F3: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. Row 2 · 2020-06-02 · Sale · Disposed 400,000 · Balance 1,226,514 F1: The price realized by the reporting person from the sales reported in Table I of this Form 4 is less than the market price of the Issuer's Ordinary Shares on the date of any purchase transaction that is potentially matchable during the previous six months. Thus, no short-swing profit is recoverable for purposes of Section 16(b). F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.58 to $1.63, 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 (4) to this Form 4. F3: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The price realized by the reporting person from the sales reported in Table I of this Form 4 is less than the market price of the Issuer's Ordinary Shares on the date of any purchase transaction that is potentially matchable during the previous six months. Thus, no short-swing profit is recoverable for purposes of Section 16(b).
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.69 to $1.70, 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 (2) to this Form 4.
F3: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.58 to $1.63, 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 (4) to this Form 4.
Karuna Therapeutics, Inc.
Report date March 18, 2024 · Filed March 18, 2024
Section 16 reporting ended · disclosed 2024-03-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2024-03-18 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2024-03-18 · Disposition to issuer · Disposed 32,500 · Balance 990 F1: On March 18, 2024, Bristol-Myers Squibb Company ("Bristol-Myers") acquired Karuna Therapeutics, Inc. (the "Issuer") pursuant to a certain Agreement and Plan of Merger, dated as of December 22, 2023 (the "Merger Agreement"), by and among the Issuer, Bristol-Myers and Miramar Merger Sub Inc., a wholly owned subsidiary of Bristol-Myers ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Bristol-Myers. F2: At the effective time of the Merger, each issued and outstanding share of the Issuer's common stock, $0.0001 par value per share (the "Common Stock") (other than certain excluded shares of Common Stock) automatically converted into the right to receive $330.00 per share in cash (the "Merger Consideration"), without interest and subject to applicable withholding tax. Row 2 · 2024-03-18 · Disposition to issuer · Disposed 990 · Balance 0 F1: On March 18, 2024, Bristol-Myers Squibb Company ("Bristol-Myers") acquired Karuna Therapeutics, Inc. (the "Issuer") pursuant to a certain Agreement and Plan of Merger, dated as of December 22, 2023 (the "Merger Agreement"), by and among the Issuer, Bristol-Myers and Miramar Merger Sub Inc., a wholly owned subsidiary of Bristol-Myers ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Bristol-Myers. F3: Represents restricted stock units ("RSUs"), each representing a contingent right to receive one share of Common Stock. Pursuant to the Merger Agreement, each outstanding RSU, whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), was cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such RSU immediately prior to the effective time of the Merger, multiplied by (ii) the Merger Consideration. |
| Common StockSEC Table I · non-derivative | IndirectBy Sofinnova Synergy Master Fund, LP | 0 |
Reported balance
After 2024-03-18 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2024-03-18 · Disposition to issuer · Disposed 683 · Balance 0 F1: On March 18, 2024, Bristol-Myers Squibb Company ("Bristol-Myers") acquired Karuna Therapeutics, Inc. (the "Issuer") pursuant to a certain Agreement and Plan of Merger, dated as of December 22, 2023 (the "Merger Agreement"), by and among the Issuer, Bristol-Myers and Miramar Merger Sub Inc., a wholly owned subsidiary of Bristol-Myers ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Bristol-Myers. F2: At the effective time of the Merger, each issued and outstanding share of the Issuer's common stock, $0.0001 par value per share (the "Common Stock") (other than certain excluded shares of Common Stock) automatically converted into the right to receive $330.00 per share in cash (the "Merger Consideration"), without interest and subject to applicable withholding tax. F4: All shares held by Sofinnova Synergy Master Fund, LP (the "Fund"). Sofinnova Synergy Fund GP, LLC (the "GP"), the general partner of the Fund, may be deemed to have sole voting and dispositive power over these shares, and Dr. James I. Healy and Dr. Eric Delbridge, the managing members of the GP, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Sofinnova Venture Partners X, LP | 0 |
Reported balance
After 2024-03-18 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2024-03-18 · Disposition to issuer · Disposed 1,372,441 · Balance 0 F1: On March 18, 2024, Bristol-Myers Squibb Company ("Bristol-Myers") acquired Karuna Therapeutics, Inc. (the "Issuer") pursuant to a certain Agreement and Plan of Merger, dated as of December 22, 2023 (the "Merger Agreement"), by and among the Issuer, Bristol-Myers and Miramar Merger Sub Inc., a wholly owned subsidiary of Bristol-Myers ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Bristol-Myers. F2: At the effective time of the Merger, each issued and outstanding share of the Issuer's common stock, $0.0001 par value per share (the "Common Stock") (other than certain excluded shares of Common Stock) automatically converted into the right to receive $330.00 per share in cash (the "Merger Consideration"), without interest and subject to applicable withholding tax. F5: All shares held by Sofinnova Venture Partners X, LP ("SVP X"). Sofinnova Management X, L.P. ("SM X LP"), the general partner of SVP X, may be deemed to have sole voting and dispositive power over these shares, and Sofinnova Management X-A, L.L.C. ("SM X LLC"), the general partner of SM X LP, may be deemed to have sole voting and dispositive power over these shares. Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM X LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Sofinnova Management X, L.P. | 0 |
Reported balance
After 2024-03-18 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2024-03-18 · Disposition to issuer · Disposed 8,025 · Balance 0 F1: On March 18, 2024, Bristol-Myers Squibb Company ("Bristol-Myers") acquired Karuna Therapeutics, Inc. (the "Issuer") pursuant to a certain Agreement and Plan of Merger, dated as of December 22, 2023 (the "Merger Agreement"), by and among the Issuer, Bristol-Myers and Miramar Merger Sub Inc., a wholly owned subsidiary of Bristol-Myers ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Bristol-Myers. F2: At the effective time of the Merger, each issued and outstanding share of the Issuer's common stock, $0.0001 par value per share (the "Common Stock") (other than certain excluded shares of Common Stock) automatically converted into the right to receive $330.00 per share in cash (the "Merger Consideration"), without interest and subject to applicable withholding tax. F6: All shares held by SM X LP. SM X LLC, the general partner of SM X LP, may be deemed to have sole voting and dispositive power over these shares. Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM X LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. |
| Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $97.59 · Expires 2030-06-04 | Direct | 0 |
Reported balance
After 2024-03-18 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2024-03-18 · Disposition to issuer · Disposed 12,500 · Balance 0 F1: On March 18, 2024, Bristol-Myers Squibb Company ("Bristol-Myers") acquired Karuna Therapeutics, Inc. (the "Issuer") pursuant to a certain Agreement and Plan of Merger, dated as of December 22, 2023 (the "Merger Agreement"), by and among the Issuer, Bristol-Myers and Miramar Merger Sub Inc., a wholly owned subsidiary of Bristol-Myers ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Bristol-Myers. F7: Pursuant to the Merger Agreement, outstanding and unexercised options to purchase shares of Common Stock (the "Options"), whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), were cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such Option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price per share of Common Stock under such Option. F8: These Options are fully vested. |
| Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $128.01 · Expires 2031-06-15 | Direct | 0 |
Reported balance
After 2024-03-18 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2024-03-18 · Disposition to issuer · Disposed 8,500 · Balance 0 F1: On March 18, 2024, Bristol-Myers Squibb Company ("Bristol-Myers") acquired Karuna Therapeutics, Inc. (the "Issuer") pursuant to a certain Agreement and Plan of Merger, dated as of December 22, 2023 (the "Merger Agreement"), by and among the Issuer, Bristol-Myers and Miramar Merger Sub Inc., a wholly owned subsidiary of Bristol-Myers ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Bristol-Myers. F7: Pursuant to the Merger Agreement, outstanding and unexercised options to purchase shares of Common Stock (the "Options"), whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), were cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such Option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price per share of Common Stock under such Option. F8: These Options are fully vested. |
| Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $102.96 · Expires 2032-06-14 | Direct | 0 |
Reported balance
After 2024-03-18 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2024-03-18 · Disposition to issuer · Disposed 5,000 · Balance 0 F1: On March 18, 2024, Bristol-Myers Squibb Company ("Bristol-Myers") acquired Karuna Therapeutics, Inc. (the "Issuer") pursuant to a certain Agreement and Plan of Merger, dated as of December 22, 2023 (the "Merger Agreement"), by and among the Issuer, Bristol-Myers and Miramar Merger Sub Inc., a wholly owned subsidiary of Bristol-Myers ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Bristol-Myers. F7: Pursuant to the Merger Agreement, outstanding and unexercised options to purchase shares of Common Stock (the "Options"), whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), were cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such Option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price per share of Common Stock under such Option. F8: These Options are fully vested. |
| Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $237.70 · Expires 2033-06-19 | Direct | 0 |
Reported balance
After 2024-03-18 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2024-03-18 · Disposition to issuer · Disposed 1,904 · Balance 0 F1: On March 18, 2024, Bristol-Myers Squibb Company ("Bristol-Myers") acquired Karuna Therapeutics, Inc. (the "Issuer") pursuant to a certain Agreement and Plan of Merger, dated as of December 22, 2023 (the "Merger Agreement"), by and among the Issuer, Bristol-Myers and Miramar Merger Sub Inc., a wholly owned subsidiary of Bristol-Myers ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Bristol-Myers. F7: Pursuant to the Merger Agreement, outstanding and unexercised options to purchase shares of Common Stock (the "Options"), whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), were cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such Option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price per share of Common Stock under such Option. F9: These Options originally provided for vesting upon the earlier of (i) June 20, 2024, and (ii) the 2024 annual meeting of the Issuer's stockholders, subject to continued service through such date. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 18, 2024, Bristol-Myers Squibb Company ("Bristol-Myers") acquired Karuna Therapeutics, Inc. (the "Issuer") pursuant to a certain Agreement and Plan of Merger, dated as of December 22, 2023 (the "Merger Agreement"), by and among the Issuer, Bristol-Myers and Miramar Merger Sub Inc., a wholly owned subsidiary of Bristol-Myers ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Bristol-Myers.
F2: At the effective time of the Merger, each issued and outstanding share of the Issuer's common stock, $0.0001 par value per share (the "Common Stock") (other than certain excluded shares of Common Stock) automatically converted into the right to receive $330.00 per share in cash (the "Merger Consideration"), without interest and subject to applicable withholding tax.
F3: Represents restricted stock units ("RSUs"), each representing a contingent right to receive one share of Common Stock. Pursuant to the Merger Agreement, each outstanding RSU, whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), was cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such RSU immediately prior to the effective time of the Merger, multiplied by (ii) the Merger Consideration.
F4: All shares held by Sofinnova Synergy Master Fund, LP (the "Fund"). Sofinnova Synergy Fund GP, LLC (the "GP"), the general partner of the Fund, may be deemed to have sole voting and dispositive power over these shares, and Dr. James I. Healy and Dr. Eric Delbridge, the managing members of the GP, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein.
F5: All shares held by Sofinnova Venture Partners X, LP ("SVP X"). Sofinnova Management X, L.P. ("SM X LP"), the general partner of SVP X, may be deemed to have sole voting and dispositive power over these shares, and Sofinnova Management X-A, L.L.C. ("SM X LLC"), the general partner of SM X LP, may be deemed to have sole voting and dispositive power over these shares. Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM X LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein.
F6: All shares held by SM X LP. SM X LLC, the general partner of SM X LP, may be deemed to have sole voting and dispositive power over these shares. Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM X LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein.
F7: Pursuant to the Merger Agreement, outstanding and unexercised options to purchase shares of Common Stock (the "Options"), whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), were cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such Option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price per share of Common Stock under such Option.
F8: These Options are fully vested.
F9: These Options originally provided for vesting upon the earlier of (i) June 20, 2024, and (ii) the 2024 annual meeting of the Issuer's stockholders, subject to continued service through such date.
MARINUS PHARMACEUTICALS, INC.
Report date October 20, 2016 · Filed October 24, 2016
Jointly reported with Mehra Anand, SOFINNOVA VENTURE PARTNERS VI L P, Sofinnova Venture Partners VI GmbH & Co. KG, Sofinnova Venture Affiliates VI LP, Sofinnova Management VI, L.L.C., Buatois Eric, Azan Alain, POWELL MICHAEL
Section 16 reporting ended · disclosed 2016-10-24. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,134,851 |
Reported balance
After 2016-10-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2016-10-20 · Sale · Disposed 724,788 · Balance 1,134,851 F1: Shares are held by Sofinnova Venture Partners VI, L.P. ("SVP VI"). Sofinnova Management VI, L.L.C. ("SM VI") is the general partner of SVP VI and James I. Healy ("Healy"), Michael F. Powell ("Powell"), Alain L. Azan ("Azan") and Eric P. Buatois ("Buatois"), the managing members of SM VI, and Anand Mehra ("Mehra"), a former director of the Issuer, may be deemed to share voting and dispositive power over the shares held by such entities. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 224,845 |
Reported balance
After 2016-10-20 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2016-10-20 · Sale · Disposed 13,367 · Balance 224,845 F2: Shares are held by Sofinnova Venture Partners VI GmbH & Co. KG ("SVP KG"). SM VI is the managing limited partner of SVP KG, and Healy, Powell, Azan and Buatois, the managing members of SM VI, and Mehra, a former director of the Issuer, may be deemed to share voting and dispositive power over the shares held by such entities. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 15,470 |
Reported balance
After 2016-10-20 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2016-10-20 · Sale · Disposed 12,528 · Balance 15,470 F3: Shares are held by Sofinnova Venture Affiliates VI, L.P. ("SVA VI"). SM VI is the general partner of SVA VI, and Healy, Powell, Azan and Buatois, the managing members of SM VI, and Mehra, a former director of the Issuer, may be deemed to share voting and dispositive power over the shares held by such entities. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are held by Sofinnova Venture Partners VI, L.P. ("SVP VI"). Sofinnova Management VI, L.L.C. ("SM VI") is the general partner of SVP VI and James I. Healy ("Healy"), Michael F. Powell ("Powell"), Alain L. Azan ("Azan") and Eric P. Buatois ("Buatois"), the managing members of SM VI, and Anand Mehra ("Mehra"), a former director of the Issuer, may be deemed to share voting and dispositive power over the shares held by such entities.
F2: Shares are held by Sofinnova Venture Partners VI GmbH & Co. KG ("SVP KG"). SM VI is the managing limited partner of SVP KG, and Healy, Powell, Azan and Buatois, the managing members of SM VI, and Mehra, a former director of the Issuer, may be deemed to share voting and dispositive power over the shares held by such entities.
F3: Shares are held by Sofinnova Venture Affiliates VI, L.P. ("SVA VI"). SM VI is the general partner of SVA VI, and Healy, Powell, Azan and Buatois, the managing members of SM VI, and Mehra, a former director of the Issuer, may be deemed to share voting and dispositive power over the shares held by such entities.
NextCure, Inc.
Report date November 15, 2019 · Filed November 19, 2019
Jointly reported with Sofinnova Venture Partners IX, L.P., Sofinnova Management IX, L.L.C., Mehra Anand, POWELL MICHAEL
Section 16 reporting ended · disclosed 2019-11-19. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,671,856 |
Reported balance
After 2019-11-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-11-15 · Purchase · Acquired 150,000 · Balance 2,671,856 F1: The shares are held directly by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Sofinnova Management IX, L.L.C. ("SM IX") is the general partner of SVP IX and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP IX. Dr. James I. Healy, Michael F. Powell, Ph.D., and Dr. Anand Mehra are the managing members of SM IX and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP IX. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are held directly by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Sofinnova Management IX, L.L.C. ("SM IX") is the general partner of SVP IX and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP IX. Dr. James I. Healy, Michael F. Powell, Ph.D., and Dr. Anand Mehra are the managing members of SM IX and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP IX. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein.
Y-mAbs Therapeutics, Inc.
Report date September 16, 2025 · Filed September 18, 2025
Section 16 reporting ended · disclosed 2025-09-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-09-16 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 1 · 2025-09-16 · Other · Disposed 31,603 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 4, 2025, by and among Y-mAbs Therapeutics, Inc. (the "Issuer"), Yosemite Merger Sub, Inc. ("Purchaser"), Perseus BidCo US, Inc., a Delaware corporation ("Parent"), and Stark International Lux, a Luxembourg private limited liability company ("Ultimate Parent"), on September 16, 2025, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). F2: Pursuant to the terms of the Merger Agreement, the Shares were tendered at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive $8.60 per Share, in cash, without interest, subject to any applicable withholding of taxes (the "Merger Consideration"). At the effective time of the Merger (being such date and at such time as the certificate of merger in respect of the Merger was duly filed with the Secretary of State of the State of Delaware in accordance with the DGCL) (the "Effective Time"), each issued and outstanding Share was cancelled in exchange for the Merger Consideration. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-09-16 transaction · row 2
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 2 · 2025-09-16 · Disposition to issuer · Disposed 25,080 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 4, 2025, by and among Y-mAbs Therapeutics, Inc. (the "Issuer"), Yosemite Merger Sub, Inc. ("Purchaser"), Perseus BidCo US, Inc., a Delaware corporation ("Parent"), and Stark International Lux, a Luxembourg private limited liability company ("Ultimate Parent"), on September 16, 2025, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). F3: Represents restricted stock units ("RSUs") granted to the Reporting Person pursuant to the Issuer's 2018 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of Common Stock on the vesting dates of the RSU. F4: At the Effective Time, pursuant to the Merger Agreement, each RSU award outstanding as of immediately prior to the Effective Time, whether vested or unvested, was cancelled and converted into the right to receive an amount in cash, without interest, equal to the product of (a) the total number of Shares issuable in settlement of such RSU award immediately prior to the Effective Time, multiplied by (b) the Merger Consideration. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2025-09-16 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2025-09-16 · Other · Disposed 2,194,278 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 4, 2025, by and among Y-mAbs Therapeutics, Inc. (the "Issuer"), Yosemite Merger Sub, Inc. ("Purchaser"), Perseus BidCo US, Inc., a Delaware corporation ("Parent"), and Stark International Lux, a Luxembourg private limited liability company ("Ultimate Parent"), on September 16, 2025, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). F2: Pursuant to the terms of the Merger Agreement, the Shares were tendered at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive $8.60 per Share, in cash, without interest, subject to any applicable withholding of taxes (the "Merger Consideration"). At the effective time of the Merger (being such date and at such time as the certificate of merger in respect of the Merger was duly filed with the Secretary of State of the State of Delaware in accordance with the DGCL) (the "Effective Time"), each issued and outstanding Share was cancelled in exchange for the Merger Consideration. F5: The Reporting Person is one of the managing members of the general partner of Sofinnova Management X-A, L.L.C., the general partner of Sofinnova Management X, L.P., the general partner of Sofinnova Venture Partners X, L.P., which directly holds the reported securities, and, as such, may be deemed to share voting and investment power over such shares. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his proportionate pecuniary interest in Sofinnova Ventures Partners X, L.P. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.16 · Expires 2028-04-24 | Direct | 0 |
Reported balance
After 2025-09-16 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-09-16 · Disposition to issuer · Disposed 14,222 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 4, 2025, by and among Y-mAbs Therapeutics, Inc. (the "Issuer"), Yosemite Merger Sub, Inc. ("Purchaser"), Perseus BidCo US, Inc., a Delaware corporation ("Parent"), and Stark International Lux, a Luxembourg private limited liability company ("Ultimate Parent"), on September 16, 2025, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). F6: At the Effective Time, pursuant to the Merger Agreement, each stock option ("Option") outstanding as of immediately prior to the Effective Time, whether vested or unvested, was cancelled and converted into the right to receive cash, without interest, equal to the product of (a) the total number of Shares subject to such Option immediately prior to the Effective Time, multiplied by (b) the excess of the Merger Consideration over the exercise price payable per Share under such Option. Any Options with an exercise price equal to or in excess of the Merger Consideration were cancelled for no consideration. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $21.45 · Expires 2029-06-12 | Direct | 0 |
Reported balance
After 2025-09-16 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2025-09-16 · Disposition to issuer · Disposed 8,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 4, 2025, by and among Y-mAbs Therapeutics, Inc. (the "Issuer"), Yosemite Merger Sub, Inc. ("Purchaser"), Perseus BidCo US, Inc., a Delaware corporation ("Parent"), and Stark International Lux, a Luxembourg private limited liability company ("Ultimate Parent"), on September 16, 2025, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). F6: At the Effective Time, pursuant to the Merger Agreement, each stock option ("Option") outstanding as of immediately prior to the Effective Time, whether vested or unvested, was cancelled and converted into the right to receive cash, without interest, equal to the product of (a) the total number of Shares subject to such Option immediately prior to the Effective Time, multiplied by (b) the excess of the Merger Consideration over the exercise price payable per Share under such Option. Any Options with an exercise price equal to or in excess of the Merger Consideration were cancelled for no consideration. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $48.67 · Expires 2030-06-23 | Direct | 0 |
Reported balance
After 2025-09-16 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2025-09-16 · Disposition to issuer · Disposed 11,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 4, 2025, by and among Y-mAbs Therapeutics, Inc. (the "Issuer"), Yosemite Merger Sub, Inc. ("Purchaser"), Perseus BidCo US, Inc., a Delaware corporation ("Parent"), and Stark International Lux, a Luxembourg private limited liability company ("Ultimate Parent"), on September 16, 2025, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). F6: At the Effective Time, pursuant to the Merger Agreement, each stock option ("Option") outstanding as of immediately prior to the Effective Time, whether vested or unvested, was cancelled and converted into the right to receive cash, without interest, equal to the product of (a) the total number of Shares subject to such Option immediately prior to the Effective Time, multiplied by (b) the excess of the Merger Consideration over the exercise price payable per Share under such Option. Any Options with an exercise price equal to or in excess of the Merger Consideration were cancelled for no consideration. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $37.53 · Expires 2031-06-10 | Direct | 0 |
Reported balance
After 2025-09-16 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2025-09-16 · Disposition to issuer · Disposed 11,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 4, 2025, by and among Y-mAbs Therapeutics, Inc. (the "Issuer"), Yosemite Merger Sub, Inc. ("Purchaser"), Perseus BidCo US, Inc., a Delaware corporation ("Parent"), and Stark International Lux, a Luxembourg private limited liability company ("Ultimate Parent"), on September 16, 2025, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). F6: At the Effective Time, pursuant to the Merger Agreement, each stock option ("Option") outstanding as of immediately prior to the Effective Time, whether vested or unvested, was cancelled and converted into the right to receive cash, without interest, equal to the product of (a) the total number of Shares subject to such Option immediately prior to the Effective Time, multiplied by (b) the excess of the Merger Consideration over the exercise price payable per Share under such Option. Any Options with an exercise price equal to or in excess of the Merger Consideration were cancelled for no consideration. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.64 · Expires 2032-07-15 | Direct | 0 |
Reported balance
After 2025-09-16 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2025-09-16 · Disposition to issuer · Disposed 16,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 4, 2025, by and among Y-mAbs Therapeutics, Inc. (the "Issuer"), Yosemite Merger Sub, Inc. ("Purchaser"), Perseus BidCo US, Inc., a Delaware corporation ("Parent"), and Stark International Lux, a Luxembourg private limited liability company ("Ultimate Parent"), on September 16, 2025, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). F6: At the Effective Time, pursuant to the Merger Agreement, each stock option ("Option") outstanding as of immediately prior to the Effective Time, whether vested or unvested, was cancelled and converted into the right to receive cash, without interest, equal to the product of (a) the total number of Shares subject to such Option immediately prior to the Effective Time, multiplied by (b) the excess of the Merger Consideration over the exercise price payable per Share under such Option. Any Options with an exercise price equal to or in excess of the Merger Consideration were cancelled for no consideration. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.13 · Expires 2033-06-08 | Direct | 0 |
Reported balance
After 2025-09-16 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2025-09-16 · Disposition to issuer · Disposed 13,950 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 4, 2025, by and among Y-mAbs Therapeutics, Inc. (the "Issuer"), Yosemite Merger Sub, Inc. ("Purchaser"), Perseus BidCo US, Inc., a Delaware corporation ("Parent"), and Stark International Lux, a Luxembourg private limited liability company ("Ultimate Parent"), on September 16, 2025, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). F6: At the Effective Time, pursuant to the Merger Agreement, each stock option ("Option") outstanding as of immediately prior to the Effective Time, whether vested or unvested, was cancelled and converted into the right to receive cash, without interest, equal to the product of (a) the total number of Shares subject to such Option immediately prior to the Effective Time, multiplied by (b) the excess of the Merger Consideration over the exercise price payable per Share under such Option. Any Options with an exercise price equal to or in excess of the Merger Consideration were cancelled for no consideration. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.01 · Expires 2034-06-11 | Direct | 0 |
Reported balance
After 2025-09-16 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2025-09-16 · Disposition to issuer · Disposed 14,545 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 4, 2025, by and among Y-mAbs Therapeutics, Inc. (the "Issuer"), Yosemite Merger Sub, Inc. ("Purchaser"), Perseus BidCo US, Inc., a Delaware corporation ("Parent"), and Stark International Lux, a Luxembourg private limited liability company ("Ultimate Parent"), on September 16, 2025, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). F6: At the Effective Time, pursuant to the Merger Agreement, each stock option ("Option") outstanding as of immediately prior to the Effective Time, whether vested or unvested, was cancelled and converted into the right to receive cash, without interest, equal to the product of (a) the total number of Shares subject to such Option immediately prior to the Effective Time, multiplied by (b) the excess of the Merger Consideration over the exercise price payable per Share under such Option. Any Options with an exercise price equal to or in excess of the Merger Consideration were cancelled for no consideration. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.51 · Expires 2035-06-30 | Direct | 0 |
Reported balance
After 2025-09-16 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2025-09-16 · Disposition to issuer · Disposed 33,450 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 4, 2025, by and among Y-mAbs Therapeutics, Inc. (the "Issuer"), Yosemite Merger Sub, Inc. ("Purchaser"), Perseus BidCo US, Inc., a Delaware corporation ("Parent"), and Stark International Lux, a Luxembourg private limited liability company ("Ultimate Parent"), on September 16, 2025, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). F6: At the Effective Time, pursuant to the Merger Agreement, each stock option ("Option") outstanding as of immediately prior to the Effective Time, whether vested or unvested, was cancelled and converted into the right to receive cash, without interest, equal to the product of (a) the total number of Shares subject to such Option immediately prior to the Effective Time, multiplied by (b) the excess of the Merger Consideration over the exercise price payable per Share under such Option. Any Options with an exercise price equal to or in excess of the Merger Consideration were cancelled for no consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 4, 2025, by and among Y-mAbs Therapeutics, Inc. (the "Issuer"), Yosemite Merger Sub, Inc. ("Purchaser"), Perseus BidCo US, Inc., a Delaware corporation ("Parent"), and Stark International Lux, a Luxembourg private limited liability company ("Ultimate Parent"), on September 16, 2025, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger").
F2: Pursuant to the terms of the Merger Agreement, the Shares were tendered at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive $8.60 per Share, in cash, without interest, subject to any applicable withholding of taxes (the "Merger Consideration"). At the effective time of the Merger (being such date and at such time as the certificate of merger in respect of the Merger was duly filed with the Secretary of State of the State of Delaware in accordance with the DGCL) (the "Effective Time"), each issued and outstanding Share was cancelled in exchange for the Merger Consideration.
F3: Represents restricted stock units ("RSUs") granted to the Reporting Person pursuant to the Issuer's 2018 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of Common Stock on the vesting dates of the RSU.
F4: At the Effective Time, pursuant to the Merger Agreement, each RSU award outstanding as of immediately prior to the Effective Time, whether vested or unvested, was cancelled and converted into the right to receive an amount in cash, without interest, equal to the product of (a) the total number of Shares issuable in settlement of such RSU award immediately prior to the Effective Time, multiplied by (b) the Merger Consideration.
F5: The Reporting Person is one of the managing members of the general partner of Sofinnova Management X-A, L.L.C., the general partner of Sofinnova Management X, L.P., the general partner of Sofinnova Venture Partners X, L.P., which directly holds the reported securities, and, as such, may be deemed to share voting and investment power over such shares. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his proportionate pecuniary interest in Sofinnova Ventures Partners X, L.P.
F6: At the Effective Time, pursuant to the Merger Agreement, each stock option ("Option") outstanding as of immediately prior to the Effective Time, whether vested or unvested, was cancelled and converted into the right to receive cash, without interest, equal to the product of (a) the total number of Shares subject to such Option immediately prior to the Effective Time, multiplied by (b) the excess of the Merger Consideration over the exercise price payable per Share under such Option. Any Options with an exercise price equal to or in excess of the Merger Consideration were cancelled for no consideration.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 29, 2020 Filed Oct 1, 2020 16:54 UTC | Coherus Oncology, Inc. CHRS · Entity 6276 | OtherCommon Stock, $0.0001 par value | 950,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-017365 · doc1.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · kind: Sofinnova Venture Partners VII, L.P. distributed an aggregate of 950,000 shares of common stock of the issuer to its limited and general partners for no consideration on September 29, 2020. Includes pro rata allocation of such shares distributed to Sofinnova Management VII, LLC. F2 · ownership.nature: The shares are held by Sofinnova Venture Partners VII, L.P. The Reporting Person is one of the managing members of the general partner of Sofinnova Venture Partners VII, L.P., and as such, may be deemed to share voting and investment power with respect to such securities. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his proportionate pecuniary interest in Sofinnova Ventures Partners VII, L.P. Read SEC document |
| September 09, 2020 Filed Sep 11, 2020 10:22 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 4,557 | $73.75 | $336,078.75 |
DisclosureSEC source: 0001104659-20-104277 · tm2030657d1_4.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 1,952,441 F1 · price: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $73.37 to $74.00, inclusive. The reporting person undertakes to provide to Karuna Therapeutics, Inc., any security holder of Karuna Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote (1) to this Form 4. F2 · ownership.nature: All shares held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X"), the general partner of SVP X, may be deemed to have sole voting power, and Dr. James I. Healy, Dr. Maha Katabi, and Dr. Michael F. Powell, the managing members of SM X, may be deemed to have shared power to vote these shares. Such individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Read SEC document |
| September 08, 2020 Filed Sep 9, 2020 17:04 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 504 | $73.00 | $36,792.00 |
DisclosureSEC source: 0001104659-20-103494 · tm2030495d1_form4.xml · nonDerivative · entry 5 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 1,947,884 F2 · ownership.nature: All shares held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X"), the general partner of SVP X, may be deemed to have sole voting power, and Dr. James I. Healy, Dr. Maha Katabi, and Dr. Michael F. Powell, the managing members of SM X, may be deemed to have shared power to vote these shares. Such individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Read SEC document |
| September 04, 2020 Filed Sep 9, 2020 17:04 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 8,330 | $73.59 | $613,004.70 |
DisclosureSEC source: 0001104659-20-103494 · tm2030495d1_form4.xml · nonDerivative · entry 4 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 1,947,380 F5 · price: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $73.30 to $74.00, inclusive. The reporting person undertakes to provide to Karuna Therapeutics, Inc., any security holder of Karuna Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote (5) to this Form 4. F2 · ownership.nature: All shares held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X"), the general partner of SVP X, may be deemed to have sole voting power, and Dr. James I. Healy, Dr. Maha Katabi, and Dr. Michael F. Powell, the managing members of SM X, may be deemed to have shared power to vote these shares. Such individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Read SEC document |
| September 04, 2020 Filed Sep 9, 2020 17:04 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 6,461 | $72.73 | $469,908.53 |
DisclosureSEC source: 0001104659-20-103494 · tm2030495d1_form4.xml · nonDerivative · entry 3 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 1,939,050 F4 · price: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $72.30 to $73.27, inclusive. The reporting person undertakes to provide to Karuna Therapeutics, Inc., any security holder of Karuna Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote (4) to this Form 4. F2 · ownership.nature: All shares held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X"), the general partner of SVP X, may be deemed to have sole voting power, and Dr. James I. Healy, Dr. Maha Katabi, and Dr. Michael F. Powell, the managing members of SM X, may be deemed to have shared power to vote these shares. Such individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Read SEC document |
| September 04, 2020 Filed Sep 9, 2020 17:04 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 45,317 | $71.30 | $3,231,102.10 |
DisclosureSEC source: 0001104659-20-103494 · tm2030495d1_form4.xml · nonDerivative · entry 2 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 1,932,589 F3 · price: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $70.66 to $71.50, inclusive. The reporting person undertakes to provide to Karuna Therapeutics, Inc., any security holder of Karuna Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote (3) to this Form 4. F2 · ownership.nature: All shares held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X"), the general partner of SVP X, may be deemed to have sole voting power, and Dr. James I. Healy, Dr. Maha Katabi, and Dr. Michael F. Powell, the managing members of SM X, may be deemed to have shared power to vote these shares. Such individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Read SEC document |
| September 04, 2020 Filed Sep 9, 2020 17:04 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 1,670 | $70.12 | $117,100.40 |
DisclosureSEC source: 0001104659-20-103494 · tm2030495d1_form4.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 1,887,272 F1 · price: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $69.66 to $70.61, inclusive. The reporting person undertakes to provide to Karuna Therapeutics, Inc., any security holder of Karuna Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote (1) to this Form 4. F2 · ownership.nature: All shares held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X"), the general partner of SVP X, may be deemed to have sole voting power, and Dr. James I. Healy, Dr. Maha Katabi, and Dr. Michael F. Powell, the managing members of SM X, may be deemed to have shared power to vote these shares. Such individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Read SEC document |
| August 28, 2020 Filed Sep 1, 2020 16:46 UTC | Coherus Oncology, Inc. CHRS · Entity 6276 | OtherCommon Stock, $0.0001 par value | 221,009 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-016242 · doc1.xml · nonDerivative · entry 2 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 221,009 F1 · kind: Sofinnova Venture Partners VII, L.P. distributed an aggregate of 983,221 shares of common stock of the issuer to its limited and general partners for no consideration on August 28, 2020. Includes pro rata allocation of such shares distributed to Sofinnova Management VII, LLC. F3 · ownership.nature: The shares are held by Sofinnova Management VII, LLC. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his proportionate pecuniary interest in Sofinnova Management VII, LLC. Read SEC document |
| August 28, 2020 Filed Sep 1, 2020 16:46 UTC | Coherus Oncology, Inc. CHRS · Entity 6276 | OtherCommon Stock, $0.0001 par value | 983,221 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-016242 · doc1.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 950,000 F1 · kind: Sofinnova Venture Partners VII, L.P. distributed an aggregate of 983,221 shares of common stock of the issuer to its limited and general partners for no consideration on August 28, 2020. Includes pro rata allocation of such shares distributed to Sofinnova Management VII, LLC. F2 · ownership.nature: The shares are held by Sofinnova Venture Partners VII, L.P. The Reporting Person is one of the managing members of the general partner of Sofinnova Venture Partners VII, L.P., and as such, may be deemed to share voting and investment power with respect to such securities. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his proportionate pecuniary interest in Sofinnova Ventures Partners VII, L.P. Read SEC document |
| August 11, 2020 Filed Aug 12, 2020 21:04 UTC | Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 | ConversionSeries C Preferred Stock · Derivative | 3,644,624 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-022200 · doc4.xml · derivative · entry 5 POWELL MICHAEL · CIK 0001202793 · Director · 10% owner Sofinnova Venture Partners IX, L.P. · CIK 0001612133 · 10% owner Sofinnova Management IX, L.L.C. · CIK 0001612134 · 10% owner HEALY JAMES · CIK 0001245624 · 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 · 487,438 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 Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A Preferred Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A Preferred Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · ownership.direct: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. F3 · ownership.nature: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. Read SEC document |
| August 11, 2020 Filed Aug 12, 2020 21:04 UTC | Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 | ConversionSeries B Preferred Stock · Derivative | 8,753,350 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-022200 · doc4.xml · derivative · entry 4 POWELL MICHAEL · CIK 0001202793 · Director · 10% owner Sofinnova Venture Partners IX, L.P. · CIK 0001612133 · 10% owner Sofinnova Management IX, L.L.C. · CIK 0001612134 · 10% owner HEALY JAMES · CIK 0001245624 · 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 · 1,314,165 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 B Preferred Stock automatically converted into Common Stock at a rate of 1.12256:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.exercise_date: The Series B Preferred Stock automatically converted into Common Stock at a rate of 1.12256:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.expiration_date: The Series B Preferred Stock automatically converted into Common Stock at a rate of 1.12256:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · ownership.direct: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. F3 · ownership.nature: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. Read SEC document |
| August 11, 2020 Filed Aug 12, 2020 21:04 UTC | Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 | ConversionSeries A Preferred Stock · Derivative | 12,500,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-022200 · doc4.xml · derivative · entry 3 POWELL MICHAEL · CIK 0001202793 · Director · 10% owner Sofinnova Venture Partners IX, L.P. · CIK 0001612133 · 10% owner Sofinnova Management IX, L.L.C. · CIK 0001612134 · 10% owner HEALY JAMES · CIK 0001245624 · 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 · 1,671,771 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A Preferred Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series A Preferred Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series A Preferred Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · ownership.direct: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. F3 · ownership.nature: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. Read SEC document |
| August 11, 2020 Filed Aug 12, 2020 21:04 UTC | Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 | PurchaseCommon Stock | 133,333 | $15.00 | $1,999,995.00 |
DisclosureSEC source: 0000899243-20-022200 · doc4.xml · nonDerivative · entry 2 POWELL MICHAEL · CIK 0001202793 · Director · 10% owner Sofinnova Venture Partners IX, L.P. · CIK 0001612133 · 10% owner Sofinnova Management IX, L.L.C. · CIK 0001612134 · 10% owner HEALY JAMES · CIK 0001245624 · 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: 3,606,707 F3 · ownership.direct: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. F3 · ownership.nature: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. Read SEC document |
| August 11, 2020 Filed Aug 12, 2020 21:04 UTC | Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 | ConversionCommon Stock | 3,473,374 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-022200 · doc4.xml · nonDerivative · entry 1 POWELL MICHAEL · CIK 0001202793 · Director · 10% owner Sofinnova Venture Partners IX, L.P. · CIK 0001612133 · 10% owner Sofinnova Management IX, L.L.C. · CIK 0001612134 · 10% owner HEALY JAMES · CIK 0001245624 · 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: 3,473,374 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 Stock and Series C Preferred Stock automatically converted into Common Stock at a rate of 1:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · price: The Series B Preferred Stock automatically converted into Common Stock at a rate of 1.12256:7.4771 upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · ownership.direct: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. F3 · ownership.nature: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. Read SEC document |
| July 28, 2020 Filed Jul 28, 2020 18:08 UTC | Inozyme Pharma, Inc. INZY · Entity 77717 | ConversionSeries A-2 Convertible Preferred Stock · Derivative | 11,888,112 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-020562 · doc4.xml · derivative · entry 3 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.L.C. · CIK 0001680194 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner Katabi Maha · CIK 0001720685 · 10% owner POWELL MICHAEL · CIK 0001202793 · 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 · 1,590,808 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: On July 28, 2020, the Series A-2 Convertible Preferred Stock automatically converted into Common Stock on a 7.4730-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: On July 28, 2020, the Series A-2 Convertible Preferred Stock automatically converted into Common Stock on a 7.4730-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: On July 28, 2020, the Series A-2 Convertible Preferred Stock automatically converted into Common Stock on a 7.4730-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.direct: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| July 28, 2020 Filed Jul 28, 2020 18:08 UTC | Inozyme Pharma, Inc. INZY · Entity 77717 | PurchaseCommon Stock | 437,500 | $16.00 | $7,000,000.00 |
DisclosureSEC source: 0000899243-20-020562 · doc4.xml · nonDerivative · entry 2 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.L.C. · CIK 0001680194 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner Katabi Maha · CIK 0001720685 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,028,308 F2 · ownership.direct: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| July 28, 2020 Filed Jul 28, 2020 18:08 UTC | Inozyme Pharma, Inc. INZY · Entity 77717 | ConversionCommon Stock | 1,590,808 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-020562 · doc4.xml · nonDerivative · entry 1 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.L.C. · CIK 0001680194 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner Katabi Maha · CIK 0001720685 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,590,808 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On July 28, 2020, the Series A-2 Convertible Preferred Stock automatically converted into Common Stock on a 7.4730-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.direct: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 21:36 UTC | Akouos, Inc. AKUS · Entity 11574 | ConversionSeries B Preferred Stock · Derivative | 12,643,557 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-080030 · tm2023913-1_4.xml · derivative · entry 5 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.L.C. · CIK 0001680194 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner Katabi Maha · CIK 0001720685 · 10% owner POWELL MICHAEL · CIK 0001202793 · 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 · 599,988 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: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series B Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series B Preferred Stock had no expiration date. F3 · price: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series B Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series B Preferred Stock had no expiration date. F3 · derivative.exercise_date: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series B Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series B Preferred Stock had no expiration date. F3 · derivative.expiration_date: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series B Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series B Preferred Stock had no expiration date. F2 · ownership.direct: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 21:36 UTC | Akouos, Inc. AKUS · Entity 11574 | ConversionSeries A Preferred Stock · Derivative | 18,044,028 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-080030 · tm2023913-1_4.xml · derivative · entry 4 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.L.C. · CIK 0001680194 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner Katabi Maha · CIK 0001720685 · 10% owner POWELL MICHAEL · CIK 0001202793 · 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 · 856,262 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: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series A Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series A Preferred Stock had no expiration date. F1 · price: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series A Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series A Preferred Stock had no expiration date. F1 · derivative.exercise_date: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series A Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series A Preferred Stock had no expiration date. F1 · derivative.expiration_date: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series A Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series A Preferred Stock had no expiration date. F2 · ownership.direct: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 21:36 UTC | Akouos, Inc. AKUS · Entity 11574 | PurchaseCommon Stock | 58,823 | $17.00 | $999,991.00 |
DisclosureSEC source: 0001104659-20-080030 · tm2023913-1_4.xml · nonDerivative · entry 3 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.L.C. · CIK 0001680194 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner Katabi Maha · CIK 0001720685 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,515,073 F2 · ownership.direct: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 21:36 UTC | Akouos, Inc. AKUS · Entity 11574 | ConversionCommon Stock | 599,988 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-080030 · tm2023913-1_4.xml · nonDerivative · entry 2 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.L.C. · CIK 0001680194 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner Katabi Maha · CIK 0001720685 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,456,250 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: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series B Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series B Preferred Stock had no expiration date. F2 · ownership.direct: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 21:36 UTC | Akouos, Inc. AKUS · Entity 11574 | ConversionCommon Stock | 856,262 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-080030 · tm2023913-1_4.xml · nonDerivative · entry 1 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.L.C. · CIK 0001680194 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner Katabi Maha · CIK 0001720685 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 856,262 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: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series A Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series A Preferred Stock had no expiration date. F2 · ownership.direct: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| June 23, 2020 Filed Jun 24, 2020 16:47 UTC | Y-mAbs Therapeutics, Inc. YMAB · Entity 75095 | GrantNon-Employee Stock Option (right to buy) · Derivative | 16,000 | $0.00 Strike: $48.67 | $0.00 |
DisclosureSEC source: 0001104659-20-076460 · a4.xml · derivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common stock · 16,000 shares Expires 2030-06-23 F1 · security: Stock options granted to the Reporting Person as a non-employee director pursuant to the 2018 Equity Incentive Plan of Y-mAbs Therapeutics, Inc. F2 · derivative.exercise_date: The stock options vest in equal monthly installments during the first year following the date of grant, subject to the Reporting Person's continued service on the board of directors of Y-mAbs Therapeutics, Inc., and are exercisable immediately upon vesting. Read SEC document |
| June 12, 2020 Filed Jun 16, 2020 22:44 UTC | Natera, Inc. NTRA · Entity 2635 | GrantStock Option (right to buy) · Derivative | 5,712 | $0.00 Strike: $40.93 | $0.00 |
DisclosureSEC source: 0001179110-20-007466 · edgar.xml · derivative · entry 2 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,712 Underlying: Common Stock · 5,712 shares Expires 2030-06-11 F3 · derivative.exercise_date: The option shares shall vest and become exercisable in full on May 28, 2021. The option shares will become fully vested and exercisable in the event that the Issuer is subject to a change in control. Read SEC document |
| June 12, 2020 Filed Jun 16, 2020 22:44 UTC | Natera, Inc. NTRA · Entity 2635 | GrantRestricted Stock Units · Derivative | 2,856 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-007466 · edgar.xml · derivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,856 Underlying: Common Stock · 2,856 shares Expires not disclosed F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of common stock of the issuer. F2 · derivative.exercise_date: The RSU shall vest in full on May 28, 2021. The RSU will become fully vested in the event that the Issuer is subject to a change in control. F2 · derivative.expiration_date: The RSU shall vest in full on May 28, 2021. The RSU will become fully vested in the event that the Issuer is subject to a change in control. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 16:35 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | GrantOption (right to buy) · Derivative | 12,500 | $0.00 Strike: $97.59 | $0.00 |
DisclosureSEC source: 0001593968-20-001421 · primary_01.xml · derivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2030-06-04 F1 · derivative.exercise_date: This option shall vest in full upon the earlier of (i) June 4, 2021, and (ii) the 2021 annual meeting of the Issuer's stockholders. Read SEC document |
| June 02, 2020 Filed Jun 3, 2020 20:20 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | SaleOrdinary Shares | 400,000 | $1.61 | $642,960.00 |
DisclosureSEC source: 0001104659-20-069570 · tm2021737d1_form4.xml · nonDerivative · entry 2 Sofinnova Venture Partners IX, L.P. · CIK 0001612133 · 10% owner Sofinnova Management IX, L.L.C. · CIK 0001612134 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,226,514 F1 · price: The price realized by the reporting person from the sales reported in Table I of this Form 4 is less than the market price of the Issuer's Ordinary Shares on the date of any purchase transaction that is potentially matchable during the previous six months. Thus, no short-swing profit is recoverable for purposes of Section 16(b). F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.58 to $1.63, 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 (4) to this Form 4. F3 · ownership.direct: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 20:20 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | SaleOrdinary Shares | 100,000 | $1.69 | $169,120.00 |
DisclosureSEC source: 0001104659-20-069570 · tm2021737d1_form4.xml · nonDerivative · entry 1 Sofinnova Venture Partners IX, L.P. · CIK 0001612133 · 10% owner Sofinnova Management IX, L.L.C. · CIK 0001612134 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,626,514 F1 · price: The price realized by the reporting person from the sales reported in Table I of this Form 4 is less than the market price of the Issuer's Ordinary Shares on the date of any purchase transaction that is potentially matchable during the previous six months. Thus, no short-swing profit is recoverable for purposes of Section 16(b). F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.69 to $1.70, 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 (2) to this Form 4. F3 · ownership.direct: The securities are held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. Each reporting person disclaims beneficial ownership of such securities, except to the extent of his or its proportionate pecuniary interest therein, if any. Read SEC document |
| January 21, 2020 Filed Jan 23, 2020 16:58 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | Grant6.500% Exchangeable Senior Subordinated Note due 2025 · Derivative | Not disclosed | $1,750,000.00 | $1,750,000.00 |
DisclosureSEC source: 0000899243-20-001846 · doc4.xml · derivative · entry 1 HEALY JAMES · CIK 0001245624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners IX, L.P. Disclosed balance after: Not disclosed Underlying: Ordinary Shares · 1,750,000 shares Expires 2025-01-31 F1 · derivative.exercise_price: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. Subject to the terms of the indenture governing the Exchangeable Notes, on or after January 21, 2021 until the second scheduled trading day immediately preceding January 15, 2025, holders may exchange the Exchangeable Notes at any time. The Exchangeable Notes are exchangeable into, at the Company's election, Ordinary Shares of the Company, cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share). F2 · derivative.exercise_price: (continued from Footnote 1) The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms. F1 · derivative.exercise_date: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. Subject to the terms of the indenture governing the Exchangeable Notes, on or after January 21, 2021 until the second scheduled trading day immediately preceding January 15, 2025, holders may exchange the Exchangeable Notes at any time. The Exchangeable Notes are exchangeable into, at the Company's election, Ordinary Shares of the Company, cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share). F2 · derivative.exercise_date: (continued from Footnote 1) The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms. F3 · ownership.nature: The Exchangeable Note is held directly by Sofinnova Venture Partners IX, L.P. (the "Fund"). The general partner of the Fund is Sofinnova Management IX, L.L.C. (the "GP") and may be deemed to have sole voting, investment and dispositive power with respect to the securities held by the Fund. Dr. James I. Healy and Michael F. Powell, Ph.D. are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the securities held by the Fund. The reporting person disclaims beneficial ownership of such securities, except to the extent of his proportionate pecuniary interest therein, if any. Read SEC document |
| January 15, 2020 Filed Jan 17, 2020 21:23 UTC | Y-mAbs Therapeutics, Inc. YMAB · Entity 75095 | Exercise / conversionNon-Employee Stock Option (right to buy) · Derivative | 8,000 | $0.00 Strike: $21.45 | $0.00 |
DisclosureSEC source: 0001104659-20-005251 · a4.xml · derivative · entry 5 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 shares Expires 2029-06-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The option a) was granted purusant to the Company's 2018 Equity Incentive Plan; (b) represents the right to purchase a total of 16,000 shares; and (c) became exercisable in equal installments beginning on June 12, 2019 which was the date on which the option was granted. Any shares of Common Stock received upon the exercise of such option are subject to a lock-up agreement, which expires on January 27, 2020. Read SEC document |
| January 15, 2020 Filed Jan 17, 2020 21:23 UTC | Y-mAbs Therapeutics, Inc. YMAB · Entity 75095 | Exercise / conversionNon-Employee Stock Option (right to buy) · Derivative | 17,778 | $0.00 Strike: $11.16 | $0.00 |
DisclosureSEC source: 0001104659-20-005251 · a4.xml · derivative · entry 4 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,222 Underlying: Common Stock · 17,778 shares Expires 2028-04-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option (a) was granted purusant to the Company's 2018 Equity Incentive Plan; (b) represents the right to purchase a total of 32,000 shares; and (c) became exercisable in equal installments beginning on April 24, 2018, which was the date on which the option was granted. Any shares of Common Stock received upon the exercise of such option are subject to a lock-up agreement, which expires on January 27, 2020. Read SEC document |
| January 15, 2020 Filed Jan 17, 2020 21:23 UTC | Y-mAbs Therapeutics, Inc. YMAB · Entity 75095 | Exercise / conversionCommon Stock | 8,000 | $21.45 | $171,600.00 |
DisclosureSEC source: 0001104659-20-005251 · a4.xml · nonDerivative · entry 2 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,778 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 15, 2020 Filed Jan 17, 2020 21:23 UTC | Y-mAbs Therapeutics, Inc. YMAB · Entity 75095 | Exercise / conversionCommon Stock | 17,778 | $11.16 | $198,402.48 |
DisclosureSEC source: 0001104659-20-005251 · a4.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,778 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 12, 2020 Filed Jan 13, 2020 16:45 UTC | Coherus Oncology, Inc. CHRS · Entity 6276 | Exercise / conversionStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $12.37 | $0.00 |
DisclosureSEC source: 0001567619-20-000939 · doc1.xml · derivative · entry 7 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2029-01-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The underlying shares subject to the option vest are fully vested and exercisable. Read SEC document |
| January 12, 2020 Filed Jan 13, 2020 16:45 UTC | Coherus Oncology, Inc. CHRS · Entity 6276 | Exercise / conversionCommon Stock, $0.0001 par value | 20,000 | $12.37 | $247,400.00 |
DisclosureSEC source: 0001567619-20-000939 · doc1.xml · nonDerivative · entry 3 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,086 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 10, 2020 Filed Jan 14, 2020 21:13 UTC | Natera, Inc. NTRA · Entity 2635 | Exercise / conversionStock Option (Right to Buy) · Derivative | 11,169 | $0.00 Strike: $10.41 | $0.00 |
DisclosureSEC source: 0001179110-20-000548 · edgar.xml · derivative · entry 6 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,169 shares Expires 2027-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option, representing a right to purchase a total of 11,169 shares, became fully exercisable on June 9, 2017. Read SEC document |
| January 10, 2020 Filed Jan 14, 2020 21:13 UTC | Natera, Inc. NTRA · Entity 2635 | Exercise / conversionStock Option (Right to Buy) · Derivative | 11,169 | $0.00 Strike: $11.80 | $0.00 |
DisclosureSEC source: 0001179110-20-000548 · edgar.xml · derivative · entry 5 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,169 shares Expires 2026-06-09 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_date: The option, representing a right to purchase a total of 11,169 shares, became fully exercisable on June 10, 2016. Read SEC document |
| January 10, 2020 Filed Jan 14, 2020 21:13 UTC | Natera, Inc. NTRA · Entity 2635 | Exercise / conversionCommon Stock | 11,169 | $10.41 | $116,269.29 |
DisclosureSEC source: 0001179110-20-000548 · edgar.xml · nonDerivative · entry 2 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,616 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 10, 2020 Filed Jan 14, 2020 21:13 UTC | Natera, Inc. NTRA · Entity 2635 | Exercise / conversionCommon Stock | 11,169 | $11.80 | $131,794.20 |
DisclosureSEC source: 0001179110-20-000548 · edgar.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,447 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 10, 2020 Filed Jan 14, 2020 17:53 UTC | Coherus Oncology, Inc. CHRS · Entity 6276 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $17.73 | $0.00 |
DisclosureSEC source: 0001567619-20-001045 · doc1.xml · derivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-01-10 F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 1/12th of the total number of shares subject to the option in successive, equal monthly installments measured from January 1, 2020, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 16:45 UTC | Coherus Oncology, Inc. CHRS · Entity 6276 | Exercise / conversionStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $10.05 | $0.00 |
DisclosureSEC source: 0001567619-20-000939 · doc1.xml · derivative · entry 6 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2028-02-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The underlying shares subject to the option vest are fully vested and exercisable. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 16:45 UTC | Coherus Oncology, Inc. CHRS · Entity 6276 | Exercise / conversionStock Option (Right to Buy) · Derivative | 29,994 | $0.00 Strike: $1.67 | $0.00 |
DisclosureSEC source: 0001567619-20-000939 · doc1.xml · derivative · entry 5 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 29,994 shares Expires 2024-04-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The underlying shares subject to the option vest are fully vested and exercisable. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 16:45 UTC | Coherus Oncology, Inc. CHRS · Entity 6276 | Exercise / conversionCommon Stock, $0.0001 par value | 20,000 | $10.05 | $201,000.00 |
DisclosureSEC source: 0001567619-20-000939 · doc1.xml · nonDerivative · entry 2 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,086 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 16:45 UTC | Coherus Oncology, Inc. CHRS · Entity 6276 | Exercise / conversionCommon Stock, $0.0001 par value | 29,994 | $1.67 | $50,000.00 |
DisclosureSEC source: 0001567619-20-000939 · doc1.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,086 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 25, 2019 Filed Nov 25, 2019 21:38 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 156,250 | $96.00 | $15,000,000.00 |
DisclosureSEC source: 0001104659-19-067183 · tv533481_form4.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 1,885,602 F1 · ownership.nature: All shares held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X"), the general partner of SVP X, may be deemed to have sole voting power, and Dr. Michael F. Powell, Dr. James I. Healy, and Dr. Anand Mehra, the managing members of SM X, may be deemed to have shared power to vote these shares. Such individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Read SEC document |
| November 15, 2019 Filed Nov 19, 2019 21:47 UTC | NextCure, Inc. NXTC · Entity 7461 | PurchaseCommon Stock | 150,000 | $36.75 | $5,512,500.00 |
DisclosureSEC source: 0001104659-19-065582 · tm1923401-1_4.xml · nonDerivative · entry 1 Sofinnova Venture Partners IX, L.P. · CIK 0001612133 · 10% owner Sofinnova Management IX, L.L.C. · CIK 0001612134 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner Mehra Anand · CIK 0001590102 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,671,856 F1 · ownership.direct: The shares are held directly by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Sofinnova Management IX, L.L.C. ("SM IX") is the general partner of SVP IX and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP IX. Dr. James I. Healy, Michael F. Powell, Ph.D., and Dr. Anand Mehra are the managing members of SM IX and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP IX. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| November 12, 2019 Filed Nov 12, 2019 16:17 UTC | Galera Therapeutics, Inc. GRTX · Entity 15899 | ConversionSeries C Preferred Stock · Derivative | 2,709,659 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-027116 · doc4.xml · derivative · entry 4 Sofinnova Venture Partners IX, L.P. · CIK 0001612133 · 10% owner Sofinnova Management IX, L.L.C. · CIK 0001612134 · 10% owner POWELL MICHAEL · CIK 0001202793 · Director · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner Mehra Anand · CIK 0001590102 · 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 · 535,869 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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis. F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis. F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis. F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis. F2 · ownership.direct: The shares reported herein are held of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Dr. Michael F. Powell, Dr. James Healy and Dr. Anand Mehra are the managing members of Sofinnova Management IX, L.L.C., the general partner of SVP IX, and as such, may be deemed to share voting and investment power with respect to such shares. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of such reporting person's pecuniary interest therein. Read SEC document |
| November 12, 2019 Filed Nov 12, 2019 16:17 UTC | Galera Therapeutics, Inc. GRTX · Entity 15899 | ConversionSeries B-2 Preferred Stock · Derivative | 9,090,909 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-027116 · doc4.xml · derivative · entry 3 Sofinnova Venture Partners IX, L.P. · CIK 0001612133 · 10% owner Sofinnova Management IX, L.L.C. · CIK 0001612134 · 10% owner POWELL MICHAEL · CIK 0001202793 · Director · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner Mehra Anand · CIK 0001590102 · 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 · 1,797,843 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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis. F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis. F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis. F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis. F2 · ownership.direct: The shares reported herein are held of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Dr. Michael F. Powell, Dr. James Healy and Dr. Anand Mehra are the managing members of Sofinnova Management IX, L.L.C., the general partner of SVP IX, and as such, may be deemed to share voting and investment power with respect to such shares. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of such reporting person's pecuniary interest therein. Read SEC document |
| November 12, 2019 Filed Nov 12, 2019 16:17 UTC | Galera Therapeutics, Inc. GRTX · Entity 15899 | PurchaseCommon Stock | 750,000 | $12.00 | $9,000,000.00 |
DisclosureSEC source: 0000899243-19-027116 · doc4.xml · nonDerivative · entry 2 Sofinnova Venture Partners IX, L.P. · CIK 0001612133 · 10% owner Sofinnova Management IX, L.L.C. · CIK 0001612134 · 10% owner POWELL MICHAEL · CIK 0001202793 · Director · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner Mehra Anand · CIK 0001590102 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,083,712 F2 · ownership.direct: The shares reported herein are held of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Dr. Michael F. Powell, Dr. James Healy and Dr. Anand Mehra are the managing members of Sofinnova Management IX, L.L.C., the general partner of SVP IX, and as such, may be deemed to share voting and investment power with respect to such shares. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of such reporting person's pecuniary interest therein. Read SEC document |
| November 12, 2019 Filed Nov 12, 2019 16:17 UTC | Galera Therapeutics, Inc. GRTX · Entity 15899 | ConversionCommon Stock | 2,333,712 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-027116 · doc4.xml · nonDerivative · entry 1 Sofinnova Venture Partners IX, L.P. · CIK 0001612133 · 10% owner Sofinnova Management IX, L.L.C. · CIK 0001612134 · 10% owner POWELL MICHAEL · CIK 0001202793 · Director · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner Mehra Anand · CIK 0001590102 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,333,712 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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis. F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis. F2 · ownership.direct: The shares reported herein are held of record by Sofinnova Venture Partners IX, L.P. ("SVP IX"). Dr. Michael F. Powell, Dr. James Healy and Dr. Anand Mehra are the managing members of Sofinnova Management IX, L.L.C., the general partner of SVP IX, and as such, may be deemed to share voting and investment power with respect to such shares. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of such reporting person's pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.