person · Reporting owner

HEALY JAMES

Disclosed activity across 22 companies

Tapewire entity: 38748
SEC CIK: 0001245624

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 rows Row 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 row Row 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 row Row 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 row Row 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 rows Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 rows Row 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 row Row 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 row Row 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 rows Row 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 row Row 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 row Row 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 row Row 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 row Row 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 rows Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 rows Row 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 row Row 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 row Row 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 row Row 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 rows Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 rows Row 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 row Row 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 rows Row 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.

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	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Ending reported balance After 2024-03-18 transaction · row 2 2 source rows · reconciled sequence Row 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	Reported balance After 2024-03-18 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 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	Reported balance After 2024-03-18 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 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.	Reported balance After 2024-03-18 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 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	Reported balance After 2024-03-18 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2024-03-18 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2024-03-18 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2024-03-18 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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 row Row 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 row Row 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 row Row 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 row Row 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	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2025-09-16 transaction · row 1 Sequence does not reconcile; account continuity is unresolved. 1 source row Row 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	Reported balance After 2025-09-16 transaction · row 2 Sequence does not reconcile; account continuity is unresolved. 1 source row Row 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	Reported balance After 2025-09-16 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 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	Reported balance After 2025-09-16 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2025-09-16 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2025-09-16 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2025-09-16 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2025-09-16 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2025-09-16 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2025-09-16 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2025-09-16 transaction · row 11 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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

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

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

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
October 30, 2019 Filed Nov 1, 2019 21:17 UTC	Y-mAbs Therapeutics, Inc. YMAB · Entity 75095	PurchaseCommon Stock	90,000	$28.00	$2,520,000.00	Disclosure SEC source: 0001104659-19-059128 · tm1921752d1_4.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,194,278 F1 · ownership.nature: Such shares of the Company's Common Stock are owned by Sofinnova Venture Partners X, L.P. ("Sofinnova X"). The Reporting Person is a managing member of Sofinnova Management X, L.L.C., the General Partner of Sofinnova X, and as such has shared voting and dispositive power over such shares with Dr. Anand Mehra and Michael F. Powell, Ph.D., the other managing members of Sofinnova Management X, L.L.C. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of any pecuniary interest therein. Read SEC document
July 02, 2019 Filed Jul 2, 2019 18:57 UTC	Coherus Oncology, Inc. CHRS · Entity 6276	SaleCommon Stock, $0.0001 par value	160,000	$22.61	$3,617,600.00	Disclosure SEC source: 0001144204-19-033657 · tv524689_4.xml · nonDerivative · entry 2 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,933,221 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Venture Partners VII, L.P. on August 23, 2017. F3 · ownership.nature: The Reporting Person is one of the managing members of the general partner of Sofinnova Venture Partners VII, L.P. that directly holds the reported securities, 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
July 02, 2019 Filed Jul 2, 2019 17:10 UTC	Karuna Therapeutics, Inc. KRTX · Entity 92934	ConversionSeries B Preferred Stock · Derivative	792,602	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-018907 · doc4.xml · derivative · entry 3 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P Disclosed balance after: 0 Underlying: Common Stock · 1,029,352 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock is convertible into shares of the Issuer's Common Stock on a 1.2987-for-one basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Preferred Stock automatically converted into shares of Common Stock. The Series B Preferred Stock has no expiration date. F1 · price: The Series B Preferred Stock is convertible into shares of the Issuer's Common Stock on a 1.2987-for-one basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Preferred Stock automatically converted into shares of Common Stock. The Series B Preferred Stock has no expiration date. F1 · derivative.exercise_date: The Series B Preferred Stock is convertible into shares of the Issuer's Common Stock on a 1.2987-for-one basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Preferred Stock automatically converted into shares of Common Stock. The Series B Preferred Stock has no expiration date. F1 · derivative.expiration_date: The Series B Preferred Stock is convertible into shares of the Issuer's Common Stock on a 1.2987-for-one basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Preferred Stock automatically converted into shares of Common Stock. The Series B Preferred Stock has no expiration date. 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. 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
July 02, 2019 Filed Jul 2, 2019 17:10 UTC	Karuna Therapeutics, Inc. KRTX · Entity 92934	PurchaseCommon Stock	700,000	$16.00	$11,200,000.00	Disclosure SEC source: 0000899243-19-018907 · doc4.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: 1,729,352 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. 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
July 02, 2019 Filed Jul 2, 2019 17:10 UTC	Karuna Therapeutics, Inc. KRTX · Entity 92934	ConversionCommon Stock	1,029,352	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-018907 · doc4.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: 1,029,352 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B Preferred Stock is convertible into shares of the Issuer's Common Stock on a 1.2987-for-one basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Preferred Stock automatically converted into shares of Common Stock. The Series B Preferred Stock has no expiration date. 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. 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
June 28, 2019 Filed Jul 2, 2019 18:57 UTC	Coherus Oncology, Inc. CHRS · Entity 6276	SaleCommon Stock, $0.0001 par value	200,000	$22.05	$4,410,000.00	Disclosure SEC source: 0001144204-19-033657 · tv524689_4.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,093,221 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Venture Partners VII, L.P. on August 23, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.17, inclusive. The reporting person undertakes to provide to Coherus BioSciences, Inc., any security holder of Coherus BioSciences, Inc., 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 ranges set forth in this footnote (2) to this Form 4. F3 · ownership.nature: The Reporting Person is one of the managing members of the general partner of Sofinnova Venture Partners VII, L.P. that directly holds the reported securities, 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
June 27, 2019 Filed Jul 1, 2019 20:19 UTC	Karuna Therapeutics, Inc. KRTX · Entity 92934	GrantStock Option (Right to Buy) · Derivative	32,500	$0.00 Strike: $16.00	$0.00	Disclosure SEC source: 0000899243-19-018745 · doc4.xml · derivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,500 Underlying: Common Stock · 32,500 shares Expires 2029-06-27 F1 · derivative.exercise_date: This option shall vest in full upon the earlier of (i) June 27, 2020, and (ii) the next annual meeting of the Issuer's stockholders. Read SEC document
June 20, 2019 Filed Jun 24, 2019 18:30 UTC	Coherus Oncology, Inc. CHRS · Entity 6276	SaleCommon Stock, $0.0001 par value	317,130	$21.37	$6,777,068.10	Disclosure SEC source: 0001144204-19-032103 · tv524060_form4.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,293,221 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Venture Partners VII, L.P. on August 23, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.00 to $21.64, inclusive. The reporting person undertakes to provide to Coherus BioSciences, Inc., any security holder of Coherus BioSciences, Inc., 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 ranges set forth in this footnote (2) to this Form 4 F3 · ownership.nature: The Reporting Person is one of the managing members of the general partner of Sofinnova Venture Partners VII, L.P. that directly holds the reported securities, 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
June 13, 2019 Filed Jun 17, 2019 17:00 UTC	Iterum Therapeutics plc ITRM · Entity 72802	GrantRestricted Stock Units · Derivative	5,703	$0.00	$0.00	Disclosure SEC source: 0000899243-19-017199 · doc4.xml · derivative · entry 1 HEALY JAMES · CIK 0001245624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,703 Underlying: Ordinary Shares · 5,703 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one ordinary share upon vesting of the RSU. F2 · derivative.exercise_date: Subject to the reporting person providing continuous service to the Issuer and the other terms and conditions of the Issuer's 2018 Equity Incentive Plan, the RSUs shall vest on June 13, 2020. F2 · derivative.expiration_date: Subject to the reporting person providing continuous service to the Issuer and the other terms and conditions of the Issuer's 2018 Equity Incentive Plan, the RSUs shall vest on June 13, 2020. Read SEC document
June 12, 2019 Filed Jun 14, 2019 16:17 UTC	Y-mAbs Therapeutics, Inc. YMAB · Entity 75095	GrantNon-Employee Stock Option (right to buy) · Derivative	16,000	$0.00 Strike: $21.45	$0.00	Disclosure SEC source: 0001104659-19-035667 · 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 2029-06-12 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
May 24, 2019 Filed May 29, 2019 22:12 UTC	Natera, Inc. NTRA · Entity 2635	GrantStock Option (right to buy) · Derivative	22,000	$0.00 Strike: $22.83	$0.00	Disclosure SEC source: 0001179110-19-006812 · edgar.xml · derivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,000 Underlying: Common Stock · 22,000 shares Expires 2029-05-23 F1 · derivative.exercise_date: The option shares will vest and become exercisable in full on the earlier of (x) the date that is 12 months following the date of grant (May 24, 2019) or (y) the date of the annual stockholder meeting next following the grant. The option shares will become fully vested and exercisable in the event that the Company is subject to a change in control. Read SEC document
May 24, 2019 Filed May 29, 2019 16:22 UTC	Iterum Therapeutics plc ITRM · Entity 72802	Exercise / conversionRestricted Stock Units · Derivative	6,154	$0.00	$0.00	Disclosure SEC source: 0000899243-19-015015 · doc4.xml · derivative · entry 3 HEALY JAMES · CIK 0001245624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 6,154 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units converted into ordinary shares on a one-for-one basis upon vesting of the units. F3 · derivative.exercise_date: On May 24, 2018, the reporting person was granted an award of 6,154 restricted stock units, which vested on May 24, 2019. F3 · derivative.expiration_date: On May 24, 2018, the reporting person was granted an award of 6,154 restricted stock units, which vested on May 24, 2019. Read SEC document
May 24, 2019 Filed May 29, 2019 16:22 UTC	Iterum Therapeutics plc ITRM · Entity 72802	Exercise / conversionOrdinary Shares	6,154	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-015015 · doc4.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,154 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted stock units converted into ordinary shares on a one-for-one basis upon vesting of the units. Read SEC document
May 22, 2019 Filed May 24, 2019 21:44 UTC	Coherus Oncology, Inc. CHRS · Entity 6276	SaleCommon Stock, $0.0001 par value	257,870	$20.69	$5,335,330.30	Disclosure SEC source: 0001144204-19-028264 · tv522454_4.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,610,351 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Venture Partners VII, L.P. on August 23, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.58 to $21.05, inclusive. The reporting person undertakes to provide to Coherus BioSciences, Inc., any security holder of Coherus BioSciences, Inc., 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 ranges set forth in this footnote (2) to this Form 4. F3 · ownership.nature: The Reporting Person is one of the managing members of the general partner of Sofinnova Venture Partners VII, L.P. that directly holds the reported securities, 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
May 16, 2019 Filed Nov 27, 2019 23:09 UTC	Natera, Inc. NTRA · Entity 2635	Exercise / conversionRestricted Stock Unit · Derivative	7,278	$0.00	$0.00	Disclosure SEC source: 0001179110-19-012129 · edgar.xml · derivative · entry 4 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,278 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: Each RSU represents a contingent right to receive one share of the common stock of the issuer. F3 · derivative.exercise_date: The RSUs vested in full as of the date of the annual stockholder meeting, May 16, 2019. F3 · derivative.expiration_date: The RSUs vested in full as of the date of the annual stockholder meeting, May 16, 2019. Read SEC document
May 16, 2019 Filed Nov 27, 2019 23:09 UTC	Natera, Inc. NTRA · Entity 2635	Exercise / conversionCommon Stock	7,278	Not disclosed	Not disclosed	Disclosure SEC source: 0001179110-19-012129 · edgar.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,278 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: Represents the full vesting and settlement of Restricted Stock Units ("RSUs"), on May 16, 2019. F2 · price: Each RSU represents a contingent right to receive one share of the common stock of the issuer. Read SEC document
May 13, 2019 Filed May 15, 2019 17:59 UTC	NextCure, Inc. NXTC · Entity 7461	ConversionSeries B-1 Preferred Stock · Derivative	3,773,585	Not disclosed	Not disclosed	Disclosure SEC source: 0001144204-19-026681 · tv521648_4.xml · derivative · entry 9 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: 0 Underlying: Common Stock · 469,713 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 reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · price: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2 · 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
May 13, 2019 Filed May 15, 2019 17:59 UTC	NextCure, Inc. NXTC · Entity 7461	ConversionSeries A-3 Preferred Stock · Derivative	7,301,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001144204-19-026681 · tv521648_4.xml · derivative · entry 8 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: 0 Underlying: Common Stock · 908,785 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 reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · price: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2 · 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
May 13, 2019 Filed May 15, 2019 17:59 UTC	NextCure, Inc. NXTC · Entity 7461	ConversionSeries A-2 Preferred Stock · Derivative	3,732,500	Not disclosed	Not disclosed	Disclosure SEC source: 0001144204-19-026681 · tv521648_4.xml · derivative · entry 7 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: 0 Underlying: Common Stock · 464,599 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 reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · price: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2 · 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
May 13, 2019 Filed May 15, 2019 17:59 UTC	NextCure, Inc. NXTC · Entity 7461	ConversionSeries A-1 Preferred Stock · Derivative	2,239,500	Not disclosed	Not disclosed	Disclosure SEC source: 0001144204-19-026681 · tv521648_4.xml · derivative · entry 6 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: 0 Underlying: Common Stock · 278,759 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 reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · price: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2 · 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
May 13, 2019 Filed May 15, 2019 17:59 UTC	NextCure, Inc. NXTC · Entity 7461	PurchaseCommon Stock	400,000	$15.00	$6,000,000.00	Disclosure SEC source: 0001144204-19-026681 · tv521648_4.xml · nonDerivative · entry 5 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: 2,521,856 F2 · 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
May 13, 2019 Filed May 15, 2019 17:59 UTC	NextCure, Inc. NXTC · Entity 7461	ConversionCommon Stock	469,713	Not disclosed	Not disclosed	Disclosure SEC source: 0001144204-19-026681 · tv521648_4.xml · nonDerivative · entry 4 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: 2,121,856 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 reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2 · 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
May 13, 2019 Filed May 15, 2019 17:59 UTC	NextCure, Inc. NXTC · Entity 7461	ConversionCommon Stock	908,785	Not disclosed	Not disclosed	Disclosure SEC source: 0001144204-19-026681 · tv521648_4.xml · nonDerivative · entry 3 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: 1,652,143 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 reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2 · 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
May 13, 2019 Filed May 15, 2019 17:59 UTC	NextCure, Inc. NXTC · Entity 7461	ConversionCommon Stock	464,599	Not disclosed	Not disclosed	Disclosure SEC source: 0001144204-19-026681 · tv521648_4.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 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: 743,358 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 reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2 · 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
May 13, 2019 Filed May 15, 2019 17:59 UTC	NextCure, Inc. NXTC · Entity 7461	ConversionCommon Stock	278,759	Not disclosed	Not disclosed	Disclosure SEC source: 0001144204-19-026681 · tv521648_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: 278,759 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 reported securities automatically converted into shares of Common Stock on a 1-for-8.0338 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2 · 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
April 12, 2019 Filed Apr 17, 2019 01:27 UTC	Natera, Inc. NTRA · Entity 2635	GrantRestricted Stock Units · Derivative	7,278	$0.00	$0.00	Disclosure SEC source: 0001179110-19-005050 · edgar.xml · derivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,278 Underlying: Common Stock · 7,278 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Common Stock of the Issuer. F2 · derivative.exercise_date: The RSUs will vest and become exercisable in full on the earlier of (x) the date that is 12 months following the date of grant (April 12, 2019) or (y) the date of the annual stockholder meeting next following the grant. The RSU shares will become fully vested and exercisable in the event that the Company is subject to a change in control. F2 · derivative.expiration_date: The RSUs will vest and become exercisable in full on the earlier of (x) the date that is 12 months following the date of grant (April 12, 2019) or (y) the date of the annual stockholder meeting next following the grant. The RSU shares will become fully vested and exercisable in the event that the Company is subject to a change in control. Read SEC document
January 11, 2019 Filed Jan 30, 2019 16:07 UTC	Coherus Oncology, Inc. CHRS · Entity 6276	GrantStock Option (Right to Buy) · Derivative	20,000	$0.00 Strike: $12.37	$0.00	Disclosure SEC source: 0000899243-19-002189 · doc4.xml · derivative · entry 3 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-01-11 F2 · 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 11, 2019, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date. Read SEC document
September 28, 2018 Filed Oct 2, 2018 21:41 UTC	Entasis Therapeutics Holdings Inc. ETTX · Entity 16036	ConversionSeries B-1 Tranche B Convertible Preferred Stock · Derivative	9,502,249	$0.00	$0.00	Disclosure SEC source: 0001209191-18-053539 · doc4.xml · derivative · entry 5 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: 0 Underlying: Common Stock · 458,425 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.direct: The reportable 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. Read SEC document
September 28, 2018 Filed Oct 2, 2018 21:41 UTC	Entasis Therapeutics Holdings Inc. ETTX · Entity 16036	ConversionSeries B-1 Tranche A Convertible Preferred Stock · Derivative	7,446,904	$0.00	$0.00	Disclosure SEC source: 0001209191-18-053539 · 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 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: 0 Underlying: Common Stock · 359,267 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.direct: The reportable 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. Read SEC document
September 28, 2018 Filed Oct 2, 2018 21:41 UTC	Entasis Therapeutics Holdings Inc. ETTX · Entity 16036	PurchaseCommon Stock	337,724	$15.00	$5,065,860.00	Disclosure SEC source: 0001209191-18-053539 · doc4.xml · nonDerivative · entry 3 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: 1,180,178 F2 · ownership.direct: 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. Read SEC document
September 28, 2018 Filed Oct 2, 2018 21:41 UTC	Entasis Therapeutics Holdings Inc. ETTX · Entity 16036	ConversionCommon Stock	458,425	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-053539 · 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 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: 842,454 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · balance_after: This number includes an aggregate of 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 · ownership.direct: 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. Read SEC document
September 28, 2018 Filed Oct 2, 2018 21:41 UTC	Entasis Therapeutics Holdings Inc. ETTX · Entity 16036	ConversionCommon Stock	359,267	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-053539 · 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 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: 359,267 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.direct: The reportable 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. Read SEC document
September 21, 2018 Filed Sep 25, 2018 20:41 UTC	Y-mAbs Therapeutics, Inc. YMAB · Entity 75095	PurchaseCommon Stock	500,000	$16.00	$8,000,000.00	Disclosure SEC source: 0001144204-18-050799 · tv503517_4.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,104,278 F1 · ownership.nature: Such shares of the Company's Common Stock are owned by Sofinnova Venture Partners X, L.P. ("Sofinnova X"). The Reporting Person is a managing member of Sofinnova Management X, L.L.C., the General Partner of Sofinnova X, and as such has shared voting and dispositive power over such shares with Dr. Anand Mehra and Michael F. Powell, Ph.D., the other managing members of Sofinnova Management X, L.L.C. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of any pecuniary interest therein. Read SEC document
September 18, 2018 Filed Sep 20, 2018 19:02 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionSeries C Preferred Stock · Derivative	167,537	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051838 · doc4.xml · derivative · entry 9 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 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 · 167,537 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: 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. F5 · price: 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. F5 · derivative.exercise_date: 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. F5 · derivative.expiration_date: 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 · ownership.direct: 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. Read SEC document
September 18, 2018 Filed Sep 20, 2018 19:02 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionSeries B-3 Preferred Stock · Derivative	453,954	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051838 · doc4.xml · derivative · entry 8 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 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 · 453,954 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: 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. F4 · price: 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. F4 · derivative.exercise_date: 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. F4 · derivative.expiration_date: 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 · ownership.direct: 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. Read SEC document
September 18, 2018 Filed Sep 20, 2018 19:02 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionSeries B-2 Preferred Stock · Derivative	521,235	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051838 · doc4.xml · derivative · entry 7 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 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 · 521,235 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the 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. F3 · price: 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. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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 · ownership.direct: 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. Read SEC document
September 18, 2018 Filed Sep 20, 2018 19:02 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionSeries B-1 Preferred Stock · Derivative	625,482	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051838 · doc4.xml · derivative · entry 6 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 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 · 625,482 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the 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. F1 · price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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 · ownership.direct: 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. Read SEC document
September 18, 2018 Filed Sep 20, 2018 19:02 UTC	Principia Biopharma Inc. PRNB · Entity 146423	PurchaseCommon Stock	270,000	$17.00	$4,590,000.00	Disclosure SEC source: 0001209191-18-051838 · doc4.xml · nonDerivative · entry 5 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 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: 2,038,208 F2 · ownership.direct: 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. Read SEC document
September 18, 2018 Filed Sep 20, 2018 19:02 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionCommon Stock	167,537	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051838 · doc4.xml · nonDerivative · entry 4 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 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: 1,768,208 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: 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 · ownership.direct: 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. Read SEC document
September 18, 2018 Filed Sep 20, 2018 19:02 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionCommon Stock	453,954	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051838 · doc4.xml · nonDerivative · entry 3 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 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: 1,600,671 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: 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 · ownership.direct: 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. Read SEC document
September 18, 2018 Filed Sep 20, 2018 19:02 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionCommon Stock	521,235	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051838 · doc4.xml · nonDerivative · entry 2 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 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: 1,146,717 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the 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 · ownership.direct: 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. Read SEC document
September 18, 2018 Filed Sep 20, 2018 19:02 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionCommon Stock	625,482	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051838 · doc4.xml · nonDerivative · entry 1 Sofinnova Venture Partners VIII, L.P. · CIK 0001524064 · 10% owner Sofinnova Management VIII, L.L.C. · CIK 0001559565 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner POWELL MICHAEL · CIK 0001202793 · 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: 625,482 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the 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 · ownership.direct: 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. Read SEC document
September 14, 2018 Filed Sep 18, 2018 23:27 UTC	Natera, Inc. NTRA · Entity 2635	GrantRestricted Stock Units · Derivative	5,785	$0.00	$0.00	Disclosure SEC source: 0001179110-18-011545 · edgar.xml · derivative · entry 2 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,785 Underlying: Common Stock · 5,785 shares Expires not disclosed F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Common Stock of the Issuer. F3 · derivative.exercise_date: The RSUs will vest and become exercisable in full on the earlier of (x) the date that is 12 months following the date of grant (September 14, 2018) or (y) the date of the annual stockholder meeting next following the grant. The RSU shares will become fully vested and exercisable in the event that the Company is subject to a change in control. F3 · derivative.expiration_date: The RSUs will vest and become exercisable in full on the earlier of (x) the date that is 12 months following the date of grant (September 14, 2018) or (y) the date of the annual stockholder meeting next following the grant. The RSU shares will become fully vested and exercisable in the event that the Company is subject to a change in control. Read SEC document
September 14, 2018 Filed Sep 18, 2018 23:27 UTC	Natera, Inc. NTRA · Entity 2635	GrantStock Option (right to buy) · Derivative	11,169	$0.00 Strike: $24.42	$0.00	Disclosure SEC source: 0001179110-18-011545 · edgar.xml · derivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,169 Underlying: Common Stock · 11,169 shares Expires 2028-09-13 F1 · derivative.exercise_date: The option shares will vest and become exercisable in full on the earlier of (x) the date that is 12 months following the date of grant (September 14, 2018) or (y) the date of the annual stockholder meeting next following the grant. The option shares will become fully vested and exercisable in the event that the Company is subject to a change in control. Read SEC document
September 14, 2018 Filed Apr 17, 2019 01:24 UTC Amendment	Natera, Inc. NTRA · Entity 2635	GrantRestricted Stock Units · Derivative	5,785	$0.00	$0.00	Disclosure SEC source: 0001179110-19-005045 · edgar.xml · derivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,785 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Common Stock of the Issuer. F2 · derivative.exercise_date: The RSUs will vest and become exercisable in full on the earlier of (x) the date that is 12 months following the date of grant (September 14, 2018) or (y) the date of the annual stockholder meeting next following the grant. The RSU shares will become fully vested and exercisable in the event that the Company is subject to a change in control. F2 · derivative.expiration_date: The RSUs will vest and become exercisable in full on the earlier of (x) the date that is 12 months following the date of grant (September 14, 2018) or (y) the date of the annual stockholder meeting next following the grant. The RSU shares will become fully vested and exercisable in the event that the Company is subject to a change in control. F3 · balance_after: The grant of Restricted Stock Units on September 14, 2018 were not granted on September 14, 2018 and was reported in error. Read SEC document
August 29, 2018 Filed Aug 31, 2018 17:23 UTC	Coherus Oncology, Inc. CHRS · Entity 6276	SaleCommon Stock, $0.0001 par value	25,000	$20.50	$512,500.00	Disclosure SEC source: 0001144204-18-047629 · tv502179_4.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,868,221 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Venture Partners VII, L.P. on August 23, 2017. F2 · ownership.nature: The Reporting Person is one of the managing members of the general partner of Sofinnova Venture Partners VII, L.P. that directly holds the reported securities, 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
May 30, 2018 Filed May 30, 2018 17:32 UTC	Iterum Therapeutics plc ITRM · Entity 72802	ConversionSeries B-2 Preferred Shares · Derivative	229,660	$0.00	$0.00	Disclosure SEC source: 0001209191-18-034209 · doc4.xml · derivative · entry 7 HEALY JAMES · CIK 0001245624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners IX, L.P. Disclosed balance after: 0 Underlying: Ordinary Shares · 229,660 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The Series B-2 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer. F4 · derivative.exercise_date: The Series B-2 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer. F5 · derivative.expiration_date: Not applicable. F2 · ownership.nature: These shares 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 shares held by the Fund. Dr. James I. Healy, Michael F. Powell, Ph.D., and Dr. Anand Mehra are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by the Fund. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein, if any. Read SEC document
May 30, 2018 Filed May 30, 2018 17:32 UTC	Iterum Therapeutics plc ITRM · Entity 72802	ConversionSeries B-1 Preferred Shares · Derivative	275,446	$0.00	$0.00	Disclosure SEC source: 0001209191-18-034209 · doc4.xml · derivative · entry 6 HEALY JAMES · CIK 0001245624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners IX, L.P. Disclosed balance after: 0 Underlying: Ordinary Shares · 275,446 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: The Series B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer. F3 · derivative.exercise_date: The Series B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer. F5 · derivative.expiration_date: Not applicable. F2 · ownership.nature: These shares 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 shares held by the Fund. Dr. James I. Healy, Michael F. Powell, Ph.D., and Dr. Anand Mehra are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by the Fund. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein, if any. Read SEC document
May 30, 2018 Filed May 30, 2018 17:32 UTC	Iterum Therapeutics plc ITRM · Entity 72802	ConversionSeries A Preferred Shares · Derivative	721,408	$0.00	$0.00	Disclosure SEC source: 0001209191-18-034209 · doc4.xml · derivative · entry 5 HEALY JAMES · CIK 0001245624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners IX, L.P. Disclosed balance after: 0 Underlying: Ordinary Shares · 721,408 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer. F1 · derivative.exercise_date: The Series A Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer. F5 · derivative.expiration_date: Not applicable. F2 · ownership.nature: These shares 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 shares held by the Fund. Dr. James I. Healy, Michael F. Powell, Ph.D., and Dr. Anand Mehra are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by the Fund. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein, if any. Read SEC document
May 30, 2018 Filed May 30, 2018 17:32 UTC	Iterum Therapeutics plc ITRM · Entity 72802	PurchaseOrdinary Shares	500,000	$13.00	$6,500,000.00	Disclosure SEC source: 0001209191-18-034209 · doc4.xml · nonDerivative · entry 4 HEALY JAMES · CIK 0001245624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners IX, L.P. Disclosed balance after: 1,726,514 F2 · ownership.nature: These shares 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 shares held by the Fund. Dr. James I. Healy, Michael F. Powell, Ph.D., and Dr. Anand Mehra are the managing members of the GP and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by the Fund. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein, if any. Read SEC document

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