person · Reporting owner

George Simeon

Disclosed activity across 11 companies

Tapewire entity: 39164
SEC CIK: 0001595117

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
ADARx Pharmaceuticals, Inc.ADRX · Entity 183937	Director · 10% owner	September 24, 2026	September 24, 2026
CRISPR Therapeutics AGCRSP · Entity 3852	Director	June 05, 2026	June 09, 2026
Design Therapeutics, Inc.DSGN · Entity 4991	Director · 10% owner	June 09, 2026	June 11, 2026
Nkarta, Inc.NKTX · Entity 6346	Director	June 10, 2026	June 11, 2026

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.

ADARx Pharmaceuticals, Inc.

Report date September 24, 2026 · Filed September 24, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series B Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 2	Not disclosed	Reported balance Holding disclosure · report date 2026-09-24 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F1: Each share of Series B Preferred Stock, Series B-1 Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") will automatically convert on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F2: The Reporting Person is the managing member of SR One Capital Management, LLC ("SR One Capital Management"), which is the sole general partner of SR One Capital Partners I, LP ("SR One Partners I"). SR One Partners I is the sole general partner of SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), or otherwise of such portion of the securities held by SR One Fund I Aggregator in which the Reporting Person has no pecuniary interest.
Series B-1 Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 2	Not disclosed	Reported balance Holding disclosure · report date 2026-09-24 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance Not disclosed F1: Each share of Series B Preferred Stock, Series B-1 Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") will automatically convert on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F2: The Reporting Person is the managing member of SR One Capital Management, LLC ("SR One Capital Management"), which is the sole general partner of SR One Capital Partners I, LP ("SR One Partners I"). SR One Partners I is the sole general partner of SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), or otherwise of such portion of the securities held by SR One Fund I Aggregator in which the Reporting Person has no pecuniary interest.
Series C Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 2	Not disclosed	Reported balance Holding disclosure · report date 2026-09-24 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance Not disclosed F1: Each share of Series B Preferred Stock, Series B-1 Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") will automatically convert on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F2: The Reporting Person is the managing member of SR One Capital Management, LLC ("SR One Capital Management"), which is the sole general partner of SR One Capital Partners I, LP ("SR One Partners I"). SR One Partners I is the sole general partner of SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), or otherwise of such portion of the securities held by SR One Fund I Aggregator in which the Reporting Person has no pecuniary interest.
Series C Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 3	Not disclosed	Reported balance Holding disclosure · report date 2026-09-24 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance Not disclosed F1: Each share of Series B Preferred Stock, Series B-1 Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") will automatically convert on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F3: The Reporting Person is the managing member of SR One Capital Management, which is the sole general partner of SR One Capital Opportunities Partners I, LP ("SR One Opportunities Partners I"). SR One Opportunities Partners I is the sole general partner of SR One Capital Opportunities Fund I, LP ("SR One Opportunities Fund I"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 or otherwise of such portion of the securities held by SR One Opportunities Fund I in which the Reporting Person has no pecuniary interest.
Series B Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 4	Not disclosed	Reported balance Holding disclosure · report date 2026-09-24 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance Not disclosed F1: Each share of Series B Preferred Stock, Series B-1 Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") will automatically convert on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F4: The Reporting Person is the managing member of SR One Capital Management, which is the managing member of SR One Co-Invest III Manager LLC ("SR One Co-Invest Manager"). SR One Co-Invest Manager is the managing member of SR One Co-Invest III, LLC ("SR One Co-Invest"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 or otherwise of such portion of the securities held by SR One Co-Invest in which the Reporting Person has no pecuniary interest.
Series B-1 Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 4	Not disclosed	Reported balance Holding disclosure · report date 2026-09-24 · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · Balance Not disclosed F1: Each share of Series B Preferred Stock, Series B-1 Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") will automatically convert on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F4: The Reporting Person is the managing member of SR One Capital Management, which is the managing member of SR One Co-Invest III Manager LLC ("SR One Co-Invest Manager"). SR One Co-Invest Manager is the managing member of SR One Co-Invest III, LLC ("SR One Co-Invest"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 or otherwise of such portion of the securities held by SR One Co-Invest in which the Reporting Person has no pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series B Preferred Stock, Series B-1 Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") will automatically convert on a 1-for-1.1717 basis into shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.

F2: The Reporting Person is the managing member of SR One Capital Management, LLC ("SR One Capital Management"), which is the sole general partner of SR One Capital Partners I, LP ("SR One Partners I"). SR One Partners I is the sole general partner of SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), or otherwise of such portion of the securities held by SR One Fund I Aggregator in which the Reporting Person has no pecuniary interest.

F3: The Reporting Person is the managing member of SR One Capital Management, which is the sole general partner of SR One Capital Opportunities Partners I, LP ("SR One Opportunities Partners I"). SR One Opportunities Partners I is the sole general partner of SR One Capital Opportunities Fund I, LP ("SR One Opportunities Fund I"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 or otherwise of such portion of the securities held by SR One Opportunities Fund I in which the Reporting Person has no pecuniary interest.

F4: The Reporting Person is the managing member of SR One Capital Management, which is the managing member of SR One Co-Invest III Manager LLC ("SR One Co-Invest Manager"). SR One Co-Invest Manager is the managing member of SR One Co-Invest III, LLC ("SR One Co-Invest"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 or otherwise of such portion of the securities held by SR One Co-Invest in which the Reporting Person has no pecuniary interest.

CRISPR Therapeutics AG

Report date June 05, 2026 · Filed June 09, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $51.84 · Expires 2036-06-05	Direct	13,000	Reported balance After 2026-06-05 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2026-06-05 · Grant · Acquired 13,000 · Balance 13,000 F1: Subject to continued service to the Company or any of its subsidiaries, the options will vest and become exercisable in 12 equal monthly installments on the final day of each succeeding calendar month occurring after the grant date provided that the first installment vests on June 30, 2026 and the last installment vests on the earlier of (i) the one year anniversary of the date of grant or (ii) the date of the 2027 Annual Meeting.

Filing footnotes · ownership attribution and instrument terms

F1: Subject to continued service to the Company or any of its subsidiaries, the options will vest and become exercisable in 12 equal monthly installments on the final day of each succeeding calendar month occurring after the grant date provided that the first installment vests on June 30, 2026 and the last installment vests on the earlier of (i) the one year anniversary of the date of grant or (ii) the date of the 2027 Annual Meeting.

Design Therapeutics, Inc.

Report date June 09, 2026 · Filed June 11, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.55 · Expires 2036-06-08	Direct	30,000	Reported balance After 2026-06-09 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2026-06-09 · Grant · Acquired 30,000 · Balance 30,000 F1: The shares subject to the option vest in equal monthly installments over 12 months following June 9, 2026 provided that the shares subject to the option will in any case be fully vested on the date of the Company's next annual meeting of stockholders.

Filing footnotes · ownership attribution and instrument terms

F1: The shares subject to the option vest in equal monthly installments over 12 months following June 9, 2026 provided that the shares subject to the option will in any case be fully vested on the date of the Company's next annual meeting of stockholders.

Nkarta, Inc.

Report date June 10, 2026 · Filed June 11, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.46 · Expires 2036-06-09	Direct	37,000	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 37,000 · Balance 37,000 F1: All shares subject to the option vest 100% on the first to occur of (i) June 10, 2027 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement).

Filing footnotes · ownership attribution and instrument terms

F1: All shares subject to the option vest 100% on the first to occur of (i) June 10, 2027 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement).

Past disclosures · reporting ended (7)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Arcellx, Inc.

Report date May 11, 2023 · Filed May 15, 2023

Jointly reported with SR ONE CAPITAL MANAGEMENT, LLC, SR One Capital Fund I Aggregator LP, SR ONE CAPITAL PARTNERS I, LP, SR One Co-Invest II, LLC, SR One Co-Invest II Manager, LLC

Section 16 reporting ended · disclosed 2023-05-15. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Note 2	2,828,394	Last balance in matching sequence After 2023-05-11 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2023-05-11 · Sale · Disposed 631,932 · Balance 2,834,879 F1: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.745 per share, 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 (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management (SR One Partners I, SR One Capital Management, and Dr. George together, the "Fund I Indirect Reporting Persons"). The Fund I Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), or otherwise of such portion of the securities held by SR One Fund I Aggregator in which the Fund I Indirect Reporting Persons have no pecuniary interest. Row 3 · 2023-05-11 · Sale · Disposed 6,485 · Balance 2,828,394 F4: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.00 to $46.56 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management (SR One Partners I, SR One Capital Management, and Dr. George together, the "Fund I Indirect Reporting Persons"). The Fund I Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), or otherwise of such portion of the securities held by SR One Fund I Aggregator in which the Fund I Indirect Reporting Persons have no pecuniary interest.
Common StockSEC Table I · non-derivative	IndirectSee Note 3	1,658,780	Last balance in matching sequence After 2023-05-11 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 2 · 2023-05-11 · Sale · Disposed 370,612 · Balance 1,662,584 F1: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.745 per share, 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 (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3: The securities are directly held by SR One Co-Invest II, LLC ("SR One Co-Invest II"). SR One Co-Invest II Manager, LLC ("SR One Co-Invest II Manager") is the managing member of SR One Co-Invest II and SR One Capital Management is the managing member of SR One Co-Invest II Manager. Dr. George is the managing member of SR One Capital Management (SR One Co-Invest II Manager, SR One Capital Management, and Dr. George together, the "Co-Invest II Indirect Reporting Persons"). The Co-Invest II Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 or otherwise of such portion of the securities held by SR One Co-Invest II in which the Co-Invest II Indirect Reporting Persons have no pecuniary interest. Row 4 · 2023-05-11 · Sale · Disposed 3,804 · Balance 1,658,780 F4: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.00 to $46.56 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3: The securities are directly held by SR One Co-Invest II, LLC ("SR One Co-Invest II"). SR One Co-Invest II Manager, LLC ("SR One Co-Invest II Manager") is the managing member of SR One Co-Invest II and SR One Capital Management is the managing member of SR One Co-Invest II Manager. Dr. George is the managing member of SR One Capital Management (SR One Co-Invest II Manager, SR One Capital Management, and Dr. George together, the "Co-Invest II Indirect Reporting Persons"). The Co-Invest II Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 or otherwise of such portion of the securities held by SR One Co-Invest II in which the Co-Invest II Indirect Reporting Persons have no pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.745 per share, 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 (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management (SR One Partners I, SR One Capital Management, and Dr. George together, the "Fund I Indirect Reporting Persons"). The Fund I Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), or otherwise of such portion of the securities held by SR One Fund I Aggregator in which the Fund I Indirect Reporting Persons have no pecuniary interest.

F3: The securities are directly held by SR One Co-Invest II, LLC ("SR One Co-Invest II"). SR One Co-Invest II Manager, LLC ("SR One Co-Invest II Manager") is the managing member of SR One Co-Invest II and SR One Capital Management is the managing member of SR One Co-Invest II Manager. Dr. George is the managing member of SR One Capital Management (SR One Co-Invest II Manager, SR One Capital Management, and Dr. George together, the "Co-Invest II Indirect Reporting Persons"). The Co-Invest II Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 or otherwise of such portion of the securities held by SR One Co-Invest II in which the Co-Invest II Indirect Reporting Persons have no pecuniary interest.

F4: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.00 to $46.56 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Avalyn Pharma Inc.

Report date May 01, 2026 · Filed May 01, 2026

Jointly reported with SR ONE CAPITAL MANAGEMENT, LLC

Section 16 reporting ended · disclosed 2026-05-01. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Note 2	2,186,562	Last balance in matching sequence After 2026-05-01 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2026-05-01 · Conversion · Acquired 1,419,298 · Balance 1,419,298 F1: On May 1, 2026, each share of Series C-1 Convertible Preferred Stock (the "Series C-1 Preferred Stock") automatically converted into shares of Common Stock on a one-for-19.2417 basis without payment of further consideration immediately prior to the closing of the Issuer's initial public offering. The Series C-1 Preferred Stock had no expiration date. F2: The reported securities are held directly by SR One Capital Fund II Aggregator, LP ("SR One Fund II Aggregator"). SR One Capital Partners II, LP ("SR One Partners II") is the general partner of SR One Fund II, and SR One Capital Management, LLC ("SR One Capital Management") is the general partner of SR One Partners II. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Partners II, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 2 · 2026-05-01 · Conversion · Acquired 489,486 · Balance 1,908,784 F3: On May 1, 2026, each share of Series D Convertible Preferred Stock (the "Series D Preferred Stock") automatically converted into shares of Common Stock on a one-for-19.2417 basis without payment of further consideration immediately prior to the closing of the Issuer's initial public offering. The Series D Preferred Stock had no expiration date. F2: The reported securities are held directly by SR One Capital Fund II Aggregator, LP ("SR One Fund II Aggregator"). SR One Capital Partners II, LP ("SR One Partners II") is the general partner of SR One Fund II, and SR One Capital Management, LLC ("SR One Capital Management") is the general partner of SR One Partners II. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Partners II, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 3 · 2026-05-01 · Purchase · Acquired 277,778 · Balance 2,186,562 F2: The reported securities are held directly by SR One Capital Fund II Aggregator, LP ("SR One Fund II Aggregator"). SR One Capital Partners II, LP ("SR One Partners II") is the general partner of SR One Fund II, and SR One Capital Management, LLC ("SR One Capital Management") is the general partner of SR One Partners II. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Partners II, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee Note 4	1,122,087	Last balance in matching sequence After 2026-05-01 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 4 · 2026-05-01 · Conversion · Acquired 354,824 · Balance 354,824 F1: On May 1, 2026, each share of Series C-1 Convertible Preferred Stock (the "Series C-1 Preferred Stock") automatically converted into shares of Common Stock on a one-for-19.2417 basis without payment of further consideration immediately prior to the closing of the Issuer's initial public offering. The Series C-1 Preferred Stock had no expiration date. F4: The reported securities are held directly by AMZL, LP ("AMZL"). SR One Capital SMA Partners, LP ("SR One SMA Partners") is the general partner of AMZL, and SR One Capital Management is the general partner of SR One SMA Partners. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One SMA Partners, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 5 · 2026-05-01 · Conversion · Acquired 489,486 · Balance 844,310 F3: On May 1, 2026, each share of Series D Convertible Preferred Stock (the "Series D Preferred Stock") automatically converted into shares of Common Stock on a one-for-19.2417 basis without payment of further consideration immediately prior to the closing of the Issuer's initial public offering. The Series D Preferred Stock had no expiration date. F4: The reported securities are held directly by AMZL, LP ("AMZL"). SR One Capital SMA Partners, LP ("SR One SMA Partners") is the general partner of AMZL, and SR One Capital Management is the general partner of SR One SMA Partners. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One SMA Partners, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 6 · 2026-05-01 · Purchase · Acquired 277,777 · Balance 1,122,087 F4: The reported securities are held directly by AMZL, LP ("AMZL"). SR One Capital SMA Partners, LP ("SR One SMA Partners") is the general partner of AMZL, and SR One Capital Management is the general partner of SR One SMA Partners. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One SMA Partners, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series C-1 Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 2	0	Reported balance After 2026-05-01 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2026-05-01 · Conversion · Disposed 27,309,719 · Balance 0 F1: On May 1, 2026, each share of Series C-1 Convertible Preferred Stock (the "Series C-1 Preferred Stock") automatically converted into shares of Common Stock on a one-for-19.2417 basis without payment of further consideration immediately prior to the closing of the Issuer's initial public offering. The Series C-1 Preferred Stock had no expiration date. F2: The reported securities are held directly by SR One Capital Fund II Aggregator, LP ("SR One Fund II Aggregator"). SR One Capital Partners II, LP ("SR One Partners II") is the general partner of SR One Fund II, and SR One Capital Management, LLC ("SR One Capital Management") is the general partner of SR One Partners II. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Partners II, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series D Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 2	0	Reported balance After 2026-05-01 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2026-05-01 · Conversion · Disposed 9,418,561 · Balance 0 F3: On May 1, 2026, each share of Series D Convertible Preferred Stock (the "Series D Preferred Stock") automatically converted into shares of Common Stock on a one-for-19.2417 basis without payment of further consideration immediately prior to the closing of the Issuer's initial public offering. The Series D Preferred Stock had no expiration date. F2: The reported securities are held directly by SR One Capital Fund II Aggregator, LP ("SR One Fund II Aggregator"). SR One Capital Partners II, LP ("SR One Partners II") is the general partner of SR One Fund II, and SR One Capital Management, LLC ("SR One Capital Management") is the general partner of SR One Partners II. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Partners II, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series C-1 Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 4	0	Reported balance After 2026-05-01 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2026-05-01 · Conversion · Disposed 6,827,429 · Balance 0 F1: On May 1, 2026, each share of Series C-1 Convertible Preferred Stock (the "Series C-1 Preferred Stock") automatically converted into shares of Common Stock on a one-for-19.2417 basis without payment of further consideration immediately prior to the closing of the Issuer's initial public offering. The Series C-1 Preferred Stock had no expiration date. F4: The reported securities are held directly by AMZL, LP ("AMZL"). SR One Capital SMA Partners, LP ("SR One SMA Partners") is the general partner of AMZL, and SR One Capital Management is the general partner of SR One SMA Partners. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One SMA Partners, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series D Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 4	0	Reported balance After 2026-05-01 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2026-05-01 · Conversion · Disposed 9,418,560 · Balance 0 F3: On May 1, 2026, each share of Series D Convertible Preferred Stock (the "Series D Preferred Stock") automatically converted into shares of Common Stock on a one-for-19.2417 basis without payment of further consideration immediately prior to the closing of the Issuer's initial public offering. The Series D Preferred Stock had no expiration date. F4: The reported securities are held directly by AMZL, LP ("AMZL"). SR One Capital SMA Partners, LP ("SR One SMA Partners") is the general partner of AMZL, and SR One Capital Management is the general partner of SR One SMA Partners. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One SMA Partners, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: On May 1, 2026, each share of Series C-1 Convertible Preferred Stock (the "Series C-1 Preferred Stock") automatically converted into shares of Common Stock on a one-for-19.2417 basis without payment of further consideration immediately prior to the closing of the Issuer's initial public offering. The Series C-1 Preferred Stock had no expiration date.

F2: The reported securities are held directly by SR One Capital Fund II Aggregator, LP ("SR One Fund II Aggregator"). SR One Capital Partners II, LP ("SR One Partners II") is the general partner of SR One Fund II, and SR One Capital Management, LLC ("SR One Capital Management") is the general partner of SR One Partners II. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Partners II, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

F3: On May 1, 2026, each share of Series D Convertible Preferred Stock (the "Series D Preferred Stock") automatically converted into shares of Common Stock on a one-for-19.2417 basis without payment of further consideration immediately prior to the closing of the Issuer's initial public offering. The Series D Preferred Stock had no expiration date.

F4: The reported securities are held directly by AMZL, LP ("AMZL"). SR One Capital SMA Partners, LP ("SR One SMA Partners") is the general partner of AMZL, and SR One Capital Management is the general partner of SR One SMA Partners. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One SMA Partners, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

Odyssey Therapeutics, Inc.

Report date May 11, 2026 · Filed May 12, 2026

Jointly reported with SR ONE CAPITAL MANAGEMENT, LLC

Section 16 reporting ended · disclosed 2026-05-12. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Note 2	1,831,383	Last balance in matching sequence After 2026-05-11 transaction · row 8 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 8 source rows Row 1 · 2026-05-11 · Conversion · Acquired 474,048 · Balance 474,048 F1: The Series A Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration. F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Capital Partners I, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 2 · 2026-05-11 · Conversion · Acquired 139,366 · Balance 613,414 F3: The Series A-2 Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.3268 basis for no additional consideration. F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Capital Partners I, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 3 · 2026-05-11 · Conversion · Acquired 59,692 · Balance 673,106 F4: The Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.2837 basis for no additional consideration. F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Capital Partners I, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 4 · 2026-05-11 · Conversion · Acquired 61,762 · Balance 734,868 F5: The Series C Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration. F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Capital Partners I, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 5 · 2026-05-11 · Conversion · Acquired 683,817 · Balance 1,418,685 F6: The Series D Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration. F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Capital Partners I, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 6 · 2026-05-11 · Other · Acquired 191,541 · Balance 1,610,226 F7: The warrants to purchase shares of common stock were automatically exercised into shares of Common Stock by their terms immediately prior to the closing of the Issuer's initial public offering on a net exercise basis. F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Capital Partners I, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 7 · 2026-05-11 · Sale · Disposed 1,065 · Balance 1,609,161 F7: The warrants to purchase shares of common stock were automatically exercised into shares of Common Stock by their terms immediately prior to the closing of the Issuer's initial public offering on a net exercise basis. F8: Pursuant to the terms of the warrants, the Issuer withheld 1,065 warrant shares to pay the exercise price in connection with the net exercise. F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Capital Partners I, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 8 · 2026-05-11 · Purchase · Acquired 222,222 · Balance 1,831,383 F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Capital Partners I, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee Note 9	374,335	Last balance in matching sequence After 2026-05-11 transaction · row 10 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 9 · 2026-05-11 · Conversion · Acquired 118,512 · Balance 118,512 F1: The Series A Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration. F9: The securities are directly held by SR One Co-Invest IV, LLC ("SR One Co-Invest IV"). SR One Co-Invest IV Manager, LLC ("SR One Co-Invest Manager") is the managing member of SR One-Co-Invest IV, and SR One Capital Management is the managing member of SR One Co-Invest Manager. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Co-Invest Manager, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 10 · 2026-05-11 · Conversion · Acquired 255,823 · Balance 374,335 F4: The Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.2837 basis for no additional consideration. F9: The securities are directly held by SR One Co-Invest IV, LLC ("SR One Co-Invest IV"). SR One Co-Invest IV Manager, LLC ("SR One Co-Invest Manager") is the managing member of SR One-Co-Invest IV, and SR One Capital Management is the managing member of SR One Co-Invest Manager. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Co-Invest Manager, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee Note 10	574,314	Last balance in matching sequence After 2026-05-11 transaction · row 16 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 6 source rows Row 11 · 2026-05-11 · Conversion · Acquired 204,658 · Balance 204,658 F4: The Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.2837 basis for no additional consideration. F10: The securities are directly held by SR One Co-Invest IV-A, LLC ("SR One Co-Invest IV-A"). SR One Co-Invest IV Manager is the managing member of SR One-Co-Invest IV-A, and SR One Capital Management is the managing member of SR One Co-Invest Manager. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Co-Invest Manager, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 12 · 2026-05-11 · Conversion · Acquired 20,582 · Balance 225,240 F5: The Series C Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration. F10: The securities are directly held by SR One Co-Invest IV-A, LLC ("SR One Co-Invest IV-A"). SR One Co-Invest IV Manager is the managing member of SR One-Co-Invest IV-A, and SR One Capital Management is the managing member of SR One Co-Invest Manager. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Co-Invest Manager, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 13 · 2026-05-11 · Conversion · Acquired 166,168 · Balance 391,408 F6: The Series D Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration. F10: The securities are directly held by SR One Co-Invest IV-A, LLC ("SR One Co-Invest IV-A"). SR One Co-Invest IV Manager is the managing member of SR One-Co-Invest IV-A, and SR One Capital Management is the managing member of SR One Co-Invest Manager. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Co-Invest Manager, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 14 · 2026-05-11 · Other · Acquired 49,850 · Balance 441,258 F7: The warrants to purchase shares of common stock were automatically exercised into shares of Common Stock by their terms immediately prior to the closing of the Issuer's initial public offering on a net exercise basis. F10: The securities are directly held by SR One Co-Invest IV-A, LLC ("SR One Co-Invest IV-A"). SR One Co-Invest IV Manager is the managing member of SR One-Co-Invest IV-A, and SR One Capital Management is the managing member of SR One Co-Invest Manager. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Co-Invest Manager, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 15 · 2026-05-11 · Sale · Disposed 277 · Balance 440,981 F7: The warrants to purchase shares of common stock were automatically exercised into shares of Common Stock by their terms immediately prior to the closing of the Issuer's initial public offering on a net exercise basis. F11: Pursuant to the terms of the warrants, the Issuer withheld 277 warrant shares to pay the exercise price in connection with the net exercise. F10: The securities are directly held by SR One Co-Invest IV-A, LLC ("SR One Co-Invest IV-A"). SR One Co-Invest IV Manager is the managing member of SR One-Co-Invest IV-A, and SR One Capital Management is the managing member of SR One Co-Invest Manager. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Co-Invest Manager, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 16 · 2026-05-11 · Purchase · Acquired 133,333 · Balance 574,314 F10: The securities are directly held by SR One Co-Invest IV-A, LLC ("SR One Co-Invest IV-A"). SR One Co-Invest IV Manager is the managing member of SR One-Co-Invest IV-A, and SR One Capital Management is the managing member of SR One Co-Invest Manager. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Co-Invest Manager, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee Note 12	1,014,851	Last balance in matching sequence After 2026-05-11 transaction · row 21 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 5 source rows Row 17 · 2026-05-11 · Conversion · Acquired 463,106 · Balance 463,106 F5: The Series C Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration. F12: The reported securities are held directly by AMZL, LP ("AMZL"). SR One Capital SMA Partners, LP ("SR One SMA Partners") is the general partner of AMZL, and SR One Capital Management is the general partner of SR One SMA Partners. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One SMA Partners, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 18 · 2026-05-11 · Conversion · Acquired 273,527 · Balance 736,633 F6: The Series D Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration. F12: The reported securities are held directly by AMZL, LP ("AMZL"). SR One Capital SMA Partners, LP ("SR One SMA Partners") is the general partner of AMZL, and SR One Capital Management is the general partner of SR One SMA Partners. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One SMA Partners, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 19 · 2026-05-11 · Other · Acquired 78,656 · Balance 815,289 F7: The warrants to purchase shares of common stock were automatically exercised into shares of Common Stock by their terms immediately prior to the closing of the Issuer's initial public offering on a net exercise basis. F12: The reported securities are held directly by AMZL, LP ("AMZL"). SR One Capital SMA Partners, LP ("SR One SMA Partners") is the general partner of AMZL, and SR One Capital Management is the general partner of SR One SMA Partners. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One SMA Partners, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 20 · 2026-05-11 · Sale · Disposed 438 · Balance 814,851 F7: The warrants to purchase shares of common stock were automatically exercised into shares of Common Stock by their terms immediately prior to the closing of the Issuer's initial public offering on a net exercise basis. F13: Pursuant to the terms of the warrants, the Issuer withheld 438 warrant shares to pay the exercise price in connection with the net exercise. F12: The reported securities are held directly by AMZL, LP ("AMZL"). SR One Capital SMA Partners, LP ("SR One SMA Partners") is the general partner of AMZL, and SR One Capital Management is the general partner of SR One SMA Partners. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One SMA Partners, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Row 21 · 2026-05-11 · Purchase · Acquired 200,000 · Balance 1,014,851 F12: The reported securities are held directly by AMZL, LP ("AMZL"). SR One Capital SMA Partners, LP ("SR One SMA Partners") is the general partner of AMZL, and SR One Capital Management is the general partner of SR One SMA Partners. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One SMA Partners, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 2	0	Reported balance After 2026-05-11 transaction · row 22 Instrument identity requires review; Table II rows are not merged. 1 source row Row 22 · 2026-05-11 · Conversion · Disposed 4,606,320 · Balance 0 F1: The Series A Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration. F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Capital Partners I, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 2	0	Reported balance After 2026-05-11 transaction · row 23 Instrument identity requires review; Table II rows are not merged. 1 source row Row 23 · 2026-05-11 · Conversion · Disposed 1,299,842 · Balance 0 F3: The Series A-2 Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.3268 basis for no additional consideration. F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Capital Partners I, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series B Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 2	0	Reported balance After 2026-05-11 transaction · row 24 Instrument identity requires review; Table II rows are not merged. 1 source row Row 24 · 2026-05-11 · Conversion · Disposed 544,162 · Balance 0 F4: The Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.2837 basis for no additional consideration. F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Capital Partners I, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series C Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 2	0	Reported balance After 2026-05-11 transaction · row 25 Instrument identity requires review; Table II rows are not merged. 1 source row Row 25 · 2026-05-11 · Conversion · Disposed 600,142 · Balance 0 F5: The Series C Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration. F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Capital Partners I, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series D Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 2	0	Reported balance After 2026-05-11 transaction · row 26 Instrument identity requires review; Table II rows are not merged. 1 source row Row 26 · 2026-05-11 · Conversion · Disposed 6,644,650 · Balance 0 F6: The Series D Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration. F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Capital Partners I, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series D Warrants (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.10	IndirectSee Note 2	0	Reported balance After 2026-05-11 transaction · row 27 Instrument identity requires review; Table II rows are not merged. 1 source row Row 27 · 2026-05-11 · Other · Disposed 1,861,211 · Balance 0 F7: The warrants to purchase shares of common stock were automatically exercised into shares of Common Stock by their terms immediately prior to the closing of the Issuer's initial public offering on a net exercise basis. F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Capital Partners I, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 9	0	Reported balance After 2026-05-11 transaction · row 28 Instrument identity requires review; Table II rows are not merged. 1 source row Row 28 · 2026-05-11 · Conversion · Disposed 1,151,580 · Balance 0 F1: The Series A Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration. F9: The securities are directly held by SR One Co-Invest IV, LLC ("SR One Co-Invest IV"). SR One Co-Invest IV Manager, LLC ("SR One Co-Invest Manager") is the managing member of SR One-Co-Invest IV, and SR One Capital Management is the managing member of SR One Co-Invest Manager. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Co-Invest Manager, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series B Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 9	0	Reported balance After 2026-05-11 transaction · row 29 Instrument identity requires review; Table II rows are not merged. 1 source row Row 29 · 2026-05-11 · Conversion · Disposed 2,374,981 · Balance 0 F4: The Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.2837 basis for no additional consideration. F9: The securities are directly held by SR One Co-Invest IV, LLC ("SR One Co-Invest IV"). SR One Co-Invest IV Manager, LLC ("SR One Co-Invest Manager") is the managing member of SR One-Co-Invest IV, and SR One Capital Management is the managing member of SR One Co-Invest Manager. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Co-Invest Manager, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series B Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 10	0	Reported balance After 2026-05-11 transaction · row 30 Instrument identity requires review; Table II rows are not merged. 1 source row Row 30 · 2026-05-11 · Conversion · Disposed 1,899,984 · Balance 0 F4: The Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.2837 basis for no additional consideration. F10: The securities are directly held by SR One Co-Invest IV-A, LLC ("SR One Co-Invest IV-A"). SR One Co-Invest IV Manager is the managing member of SR One-Co-Invest IV-A, and SR One Capital Management is the managing member of SR One Co-Invest Manager. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Co-Invest Manager, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series C Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 10	0	Reported balance After 2026-05-11 transaction · row 31 Instrument identity requires review; Table II rows are not merged. 1 source row Row 31 · 2026-05-11 · Conversion · Disposed 200,000 · Balance 0 F5: The Series C Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration. F10: The securities are directly held by SR One Co-Invest IV-A, LLC ("SR One Co-Invest IV-A"). SR One Co-Invest IV Manager is the managing member of SR One-Co-Invest IV-A, and SR One Capital Management is the managing member of SR One Co-Invest Manager. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Co-Invest Manager, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series D Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 10	0	Reported balance After 2026-05-11 transaction · row 32 Instrument identity requires review; Table II rows are not merged. 1 source row Row 32 · 2026-05-11 · Conversion · Disposed 1,614,650 · Balance 0 F6: The Series D Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration. F10: The securities are directly held by SR One Co-Invest IV-A, LLC ("SR One Co-Invest IV-A"). SR One Co-Invest IV Manager is the managing member of SR One-Co-Invest IV-A, and SR One Capital Management is the managing member of SR One Co-Invest Manager. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Co-Invest Manager, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series D Warrants (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.10	IndirectSee Note 10	0	Reported balance After 2026-05-11 transaction · row 33 Instrument identity requires review; Table II rows are not merged. 1 source row Row 33 · 2026-05-11 · Other · Disposed 484,395 · Balance 0 F7: The warrants to purchase shares of common stock were automatically exercised into shares of Common Stock by their terms immediately prior to the closing of the Issuer's initial public offering on a net exercise basis. F10: The securities are directly held by SR One Co-Invest IV-A, LLC ("SR One Co-Invest IV-A"). SR One Co-Invest IV Manager is the managing member of SR One-Co-Invest IV-A, and SR One Capital Management is the managing member of SR One Co-Invest Manager. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Co-Invest Manager, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series C Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 12	0	Reported balance After 2026-05-11 transaction · row 34 Instrument identity requires review; Table II rows are not merged. 1 source row Row 34 · 2026-05-11 · Conversion · Disposed 4,500,000 · Balance 0 F5: The Series C Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration. F12: The reported securities are held directly by AMZL, LP ("AMZL"). SR One Capital SMA Partners, LP ("SR One SMA Partners") is the general partner of AMZL, and SR One Capital Management is the general partner of SR One SMA Partners. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One SMA Partners, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series D Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee Note 12	0	Reported balance After 2026-05-11 transaction · row 35 Instrument identity requires review; Table II rows are not merged. 1 source row Row 35 · 2026-05-11 · Conversion · Disposed 2,657,860 · Balance 0 F6: The Series D Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration. F12: The reported securities are held directly by AMZL, LP ("AMZL"). SR One Capital SMA Partners, LP ("SR One SMA Partners") is the general partner of AMZL, and SR One Capital Management is the general partner of SR One SMA Partners. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One SMA Partners, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Series D Warrants (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.10	IndirectSee Note 12	0	Reported balance After 2026-05-11 transaction · row 36 Instrument identity requires review; Table II rows are not merged. 1 source row Row 36 · 2026-05-11 · Other · Disposed 764,312 · Balance 0 F7: The warrants to purchase shares of common stock were automatically exercised into shares of Common Stock by their terms immediately prior to the closing of the Issuer's initial public offering on a net exercise basis. F12: The reported securities are held directly by AMZL, LP ("AMZL"). SR One Capital SMA Partners, LP ("SR One SMA Partners") is the general partner of AMZL, and SR One Capital Management is the general partner of SR One SMA Partners. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One SMA Partners, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The Series A Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration.

F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Capital Partners I, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

F3: The Series A-2 Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.3268 basis for no additional consideration.

F4: The Series B Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.2837 basis for no additional consideration.

F5: The Series C Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration.

F6: The Series D Preferred Stock automatically converted into Common Stock immediately prior to the closing of the Issuer's initial public offering on a 1-for-9.7170 basis for no additional consideration.

F7: The warrants to purchase shares of common stock were automatically exercised into shares of Common Stock by their terms immediately prior to the closing of the Issuer's initial public offering on a net exercise basis.

F8: Pursuant to the terms of the warrants, the Issuer withheld 1,065 warrant shares to pay the exercise price in connection with the net exercise.

F9: The securities are directly held by SR One Co-Invest IV, LLC ("SR One Co-Invest IV"). SR One Co-Invest IV Manager, LLC ("SR One Co-Invest Manager") is the managing member of SR One-Co-Invest IV, and SR One Capital Management is the managing member of SR One Co-Invest Manager. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Co-Invest Manager, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

F10: The securities are directly held by SR One Co-Invest IV-A, LLC ("SR One Co-Invest IV-A"). SR One Co-Invest IV Manager is the managing member of SR One-Co-Invest IV-A, and SR One Capital Management is the managing member of SR One Co-Invest Manager. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One Co-Invest Manager, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

F11: Pursuant to the terms of the warrants, the Issuer withheld 277 warrant shares to pay the exercise price in connection with the net exercise.

F12: The reported securities are held directly by AMZL, LP ("AMZL"). SR One Capital SMA Partners, LP ("SR One SMA Partners") is the general partner of AMZL, and SR One Capital Management is the general partner of SR One SMA Partners. Simeon George, M.D. is the managing member of SR One Capital Management. Each of SR One SMA Partners, SR One Capital Management and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

F13: Pursuant to the terms of the warrants, the Issuer withheld 438 warrant shares to pay the exercise price in connection with the net exercise.

Principia Biopharma Inc.

Report date September 28, 2020 · Filed September 28, 2020

Section 16 reporting ended · disclosed 2020-09-28. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	Reported balance After 2020-09-28 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2020-09-28 · Other · Disposed 2,982,855 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). At the effective time of the Merger (the "Effective Time"), these shares were canceled in exchange for $100.00 per share (the "Offer Price") in cash, without interest and subject to any applicable withholding taxes. F2: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Simeon J. George is the CEO & Managing Partner of SR One Capital Management LP and as of September 14, 2020 was Chief Executive Officer, President and a Member of the Board of Trustees at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Dr. George disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.
WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $8.99 · Expires 2022-12-29	IndirectSee Footnote	Reported balance After 2020-09-28 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2020-09-28 · Disposition to issuer · Disposed 28,623 · Balance 0 F3: Pursuant to the Merger Agreement, at the Effective Time, each warrant was converted into the right to receive the Offer Price less the applicable exercise price per share of such warrant. F2: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Simeon J. George is the CEO & Managing Partner of SR One Capital Management LP and as of September 14, 2020 was Chief Executive Officer, President and a Member of the Board of Trustees at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Dr. George disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.
Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.00 · Expires 2028-09-12	Direct	Reported balance After 2020-09-28 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2020-09-28 · Disposition to issuer · Disposed 20,475 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) the Offer Price over (y) the exercise price payable per share under such options.
Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $31.77 · Expires 2029-06-10	Direct	Reported balance After 2020-09-28 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2020-09-28 · Disposition to issuer · Disposed 10,240 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) the Offer Price over (y) the exercise price payable per share under such options.
Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $62.66 · Expires 2030-06-03	Direct	Reported balance After 2020-09-28 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2020-09-28 · Disposition to issuer · Disposed 10,240 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) the Offer Price over (y) the exercise price payable per share under such options.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). At the effective time of the Merger (the "Effective Time"), these shares were canceled in exchange for $100.00 per share (the "Offer Price") in cash, without interest and subject to any applicable withholding taxes.

F2: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Simeon J. George is the CEO & Managing Partner of SR One Capital Management LP and as of September 14, 2020 was Chief Executive Officer, President and a Member of the Board of Trustees at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Dr. George disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.

F3: Pursuant to the Merger Agreement, at the Effective Time, each warrant was converted into the right to receive the Offer Price less the applicable exercise price per share of such warrant.

F4: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) the Offer Price over (y) the exercise price payable per share under such options.

Turning Point Therapeutics, Inc.

Report date August 17, 2022 · Filed August 17, 2022

Section 16 reporting ended · disclosed 2022-08-17. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	Reported balance After 2022-08-17 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2022-08-17 · Disposition to issuer · Disposed 2,253,660 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 2, 2022, by and among Turning Point Therapeutics, Inc. (the "Issuer"), Bristol-Myers Squibb Company ("BMS") and Rhumba Merger Sub Inc., a wholly owned subsidiary of BMS ("Purchaser"), on August 17, 2022, 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 BMS (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for $76.00 per Share in cash, without interest, subject to any applicable withholding of taxes (the "Cash Amount"). 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 Cash Amount. F2: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Simeon J. George is the Chief Executive Officer, President and a Member of the Board of Trustees at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $27.06 · Expires 2029-04-21	Direct	Reported balance After 2022-08-17 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2022-08-17 · Disposition to issuer · Disposed 15,000 · Balance 0 F3: At the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option was accelerated and became fully vested and exercisable and was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option multiplied by (ii) the excess of (x) $76.00 per Share over (y) the exercise price payable per Share under such option, net of any withholding taxes required to be deducted and withheld by applicable law.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $65.39 · Expires 2030-06-14	Direct	Reported balance After 2022-08-17 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2022-08-17 · Disposition to issuer · Disposed 8,500 · Balance 0 F3: At the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option was accelerated and became fully vested and exercisable and was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option multiplied by (ii) the excess of (x) $76.00 per Share over (y) the exercise price payable per Share under such option, net of any withholding taxes required to be deducted and withheld by applicable law.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $65.64 · Expires 2031-06-01	Direct	Reported balance After 2022-08-17 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2022-08-17 · Disposition to issuer · Disposed 8,500 · Balance 0 F3: At the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option was accelerated and became fully vested and exercisable and was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option multiplied by (ii) the excess of (x) $76.00 per Share over (y) the exercise price payable per Share under such option, net of any withholding taxes required to be deducted and withheld by applicable law.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 2, 2022, by and among Turning Point Therapeutics, Inc. (the "Issuer"), Bristol-Myers Squibb Company ("BMS") and Rhumba Merger Sub Inc., a wholly owned subsidiary of BMS ("Purchaser"), on August 17, 2022, 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 BMS (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for $76.00 per Share in cash, without interest, subject to any applicable withholding of taxes (the "Cash Amount"). 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 Cash Amount.

F2: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Simeon J. George is the Chief Executive Officer, President and a Member of the Board of Trustees at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.

F3: At the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option was accelerated and became fully vested and exercisable and was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option multiplied by (ii) the excess of (x) $76.00 per Share over (y) the exercise price payable per Share under such option, net of any withholding taxes required to be deducted and withheld by applicable law.

Zenas BioPharma, Inc.

Report date October 09, 2025 · Filed October 14, 2025

Jointly reported with SR ONE CAPITAL MANAGEMENT, LLC

Section 16 reporting ended · disclosed 2025-10-14. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Note 2	1,173,395	Reported balance After 2025-10-09 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2025-10-09 · Purchase · Acquired 63,158 · Balance 1,173,395 F1: Acquired from the Issuer on October 9, 2025 pursuant to a Securities Purchase Agreement dated October 7, 2025. F2: The reported securities are held directly by SR One Capital Opportunities Fund I, LP. SR One Capital Opportunities Partners I, LP is the general partner of SR One Capital Opportunities Fund I, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Opportunities Partners I, LP. Simeon George, M.D. is the managing member of SR One Capital Management, LLC. Each of SR One Capital Opportunities Partners I, LP, SR One Capital Management, LLC and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee Note 3	1,917,895	Reported balance After 2025-10-09 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2025-10-09 · Purchase · Acquired 63,157 · Balance 1,917,895 F1: Acquired from the Issuer on October 9, 2025 pursuant to a Securities Purchase Agreement dated October 7, 2025. F3: The reported securities are held directly by AMZL, LP. SR One Capital SMA Partners, LP is the general partner of AMZL, LP, and SR One Capital Management, LLC is the general partner of SR One Capital SMA Partners, LP. Simeon George, M.D. is the managing member of SR One Capital Management, LLC. Each of SR One Capital SMA Partners, LP, SR One Capital Management, LLC and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee Note 4	1,946,564	Reported balance Holding disclosure · report date 2025-10-09 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 1,946,564 F4: The reported securities are held directly by SR One Capital Fund II Aggregator, LP. SR One Capital Partners II, LP is the general partner of SR One Capital Fund II Aggregator, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Partners II, LP. Simeon George, M.D. is the managing member of SR One Capital Management, LLC. Each of SR One Capital Partners II, LP, SR One Capital Management, LLC and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Acquired from the Issuer on October 9, 2025 pursuant to a Securities Purchase Agreement dated October 7, 2025.

F2: The reported securities are held directly by SR One Capital Opportunities Fund I, LP. SR One Capital Opportunities Partners I, LP is the general partner of SR One Capital Opportunities Fund I, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Opportunities Partners I, LP. Simeon George, M.D. is the managing member of SR One Capital Management, LLC. Each of SR One Capital Opportunities Partners I, LP, SR One Capital Management, LLC and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

F3: The reported securities are held directly by AMZL, LP. SR One Capital SMA Partners, LP is the general partner of AMZL, LP, and SR One Capital Management, LLC is the general partner of SR One Capital SMA Partners, LP. Simeon George, M.D. is the managing member of SR One Capital Management, LLC. Each of SR One Capital SMA Partners, LP, SR One Capital Management, LLC and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

F4: The reported securities are held directly by SR One Capital Fund II Aggregator, LP. SR One Capital Partners II, LP is the general partner of SR One Capital Fund II Aggregator, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Partners II, LP. Simeon George, M.D. is the managing member of SR One Capital Management, LLC. Each of SR One Capital Partners II, LP, SR One Capital Management, LLC and Dr. George may be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

eFFECTOR Therapeutics, Inc.

Report date November 27, 2023 · Filed November 29, 2023

Jointly reported with SR ONE CAPITAL MANAGEMENT, LLC, SR One Capital Fund I Aggregator LP, SR ONE CAPITAL PARTNERS I, LP, SR One Co-Invest I, LLC, SR One Co-Invest I Manager, LLC

Section 16 reporting ended · disclosed 2023-11-29. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Note 2	4,391,536	Reported balance After 2023-11-27 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-11-27 · Sale · Disposed 430,578 · Balance 4,391,536 F1: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.5691 to $0.68 per share, 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. F2: The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management (SR One Partners I, SR One Capital Management, and Dr. George together, the "Fund I Indirect Reporting Persons"). The Fund I Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), or otherwise of such portion of the securities held by SR One Fund I Aggregator in which the Fund I Indirect Reporting Persons have no pecuniary interest.
Common StockSEC Table I · non-derivative	IndirectSee Note 3	1,821,415	Reported balance After 2023-11-27 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2023-11-27 · Sale · Disposed 178,585 · Balance 1,821,415 F1: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.5691 to $0.68 per share, 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. F3: The securities are directly held by SR One Co-Invest I, LLC ("SR One Co-Invest I"). SR One Co-Invest I Manager, LLC ("SR One Co-Invest I Manager") is the managing member of SR One Co-Invest I and SR One Capital Management is the managing member of SR One Co-Invest I Manager. Dr. George is the managing member of SR One Capital Management (SR One Co-Invest I Manager, SR One Capital Management, and Dr. George together, the "Co-Invest I Indirect Reporting Persons"). The Co-Invest I Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 or otherwise of such portion of the securities held by SR One Co-Invest I in which the Co-Invest I Indirect Reporting Persons have no pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.5691 to $0.68 per share, 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.

F3: The securities are directly held by SR One Co-Invest I, LLC ("SR One Co-Invest I"). SR One Co-Invest I Manager, LLC ("SR One Co-Invest I Manager") is the managing member of SR One Co-Invest I and SR One Capital Management is the managing member of SR One Co-Invest I Manager. Dr. George is the managing member of SR One Capital Management (SR One Co-Invest I Manager, SR One Capital Management, and Dr. George together, the "Co-Invest I Indirect Reporting Persons"). The Co-Invest I Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 or otherwise of such portion of the securities held by SR One Co-Invest I in which the Co-Invest I Indirect Reporting Persons have no pecuniary interest.

Transaction history

JSON API

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
February 08, 2022 Filed Feb 10, 2022 13:41 UTC	Arcellx, Inc. ACLX · Entity 15294	PurchaseCommon Stock	1,600,000	$15.00	$24,000,000.00	Disclosure SEC source: 0001209191-22-008281 · doc4.xml · nonDerivative · entry 7 SR ONE CAPITAL MANAGEMENT, LLC · CIK 0001853723 · 10% owner SR ONE CAPITAL PARTNERS I, LP · CIK 0001853724 · 10% owner SR One Capital Fund I Aggregator LP · CIK 0001848319 · 10% owner SR One Co-Invest II, LLC · CIK 0001867644 · 10% owner George Simeon · CIK 0001595117 · 10% owner SR One Co-Invest II Manager, LLC · CIK 0001910324 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,033,196 F5 · shares: SR One Co-Invest II, LLC purchased 1,600,000 shares of Common Stock of the Issuer in connection with the Issuer's public offering. F4 · ownership.nature: The reported securities are held directly by SR One Co-Invest II, LLC. SR One Co-Invest Manager II, LLC is the managing member of SR One Co-Invest II, LLC, and SR One Capital Management, LLC is the managing member of SR One Co-Invest Manager II, LLC. Simeon George is the managing member of SR One Capital Management, LLC. Each of SR One Co-Invest Manager II, LLC, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document
February 08, 2022 Filed Feb 10, 2022 13:41 UTC	Arcellx, Inc. ACLX · Entity 15294	ConversionCommon Stock	433,196	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-22-008281 · doc4.xml · nonDerivative · entry 6 SR ONE CAPITAL MANAGEMENT, LLC · CIK 0001853723 · 10% owner SR ONE CAPITAL PARTNERS I, LP · CIK 0001853724 · 10% owner SR One Capital Fund I Aggregator LP · CIK 0001848319 · 10% owner SR One Co-Invest II, LLC · CIK 0001867644 · 10% owner George Simeon · CIK 0001595117 · 10% owner SR One Co-Invest II Manager, LLC · CIK 0001910324 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 433,196 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: All outstanding shares of Preferred Stock will automatically convert into shares of Common Stock at the Reporting Person's election and automatically upon the closing of the initial public offering of Arcellx, Inc. (the "Issuer"). The Preferred Stock has no expiration date. F4 · ownership.nature: The reported securities are held directly by SR One Co-Invest II, LLC. SR One Co-Invest Manager II, LLC is the managing member of SR One Co-Invest II, LLC, and SR One Capital Management, LLC is the managing member of SR One Co-Invest Manager II, LLC. Simeon George is the managing member of SR One Capital Management, LLC. Each of SR One Co-Invest Manager II, LLC, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document
February 08, 2022 Filed Feb 10, 2022 13:41 UTC	Arcellx, Inc. ACLX · Entity 15294	PurchaseCommon Stock	66,667	$15.00	$1,000,005.00	Disclosure SEC source: 0001209191-22-008281 · doc4.xml · nonDerivative · entry 5 SR ONE CAPITAL MANAGEMENT, LLC · CIK 0001853723 · 10% owner SR ONE CAPITAL PARTNERS I, LP · CIK 0001853724 · 10% owner SR One Capital Fund I Aggregator LP · CIK 0001848319 · 10% owner SR One Co-Invest II, LLC · CIK 0001867644 · 10% owner George Simeon · CIK 0001595117 · 10% owner SR One Co-Invest II Manager, LLC · CIK 0001910324 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,466,811 F3 · shares: SR One Capital Fund I Aggregator, LP purchased 66,667 shares of Common Stock of the Issuer in connection with the Issuer's public offering. F2 · ownership.nature: The reported securities are held directly by SR One Capital Fund I Aggregator, LP. SR One Capital Partners I, LP is the general partner of SR One Capital Fund I Aggregator, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Partners I, LP. Simeon George is the managing member of SR One Capital Management, LLC. Each of SR One Capital Partners I, LP, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document
February 08, 2022 Filed Feb 10, 2022 13:41 UTC	Arcellx, Inc. ACLX · Entity 15294	ConversionCommon Stock	649,795	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-22-008281 · doc4.xml · nonDerivative · entry 4 SR ONE CAPITAL MANAGEMENT, LLC · CIK 0001853723 · 10% owner SR ONE CAPITAL PARTNERS I, LP · CIK 0001853724 · 10% owner SR One Capital Fund I Aggregator LP · CIK 0001848319 · 10% owner SR One Co-Invest II, LLC · CIK 0001867644 · 10% owner George Simeon · CIK 0001595117 · 10% owner SR One Co-Invest II Manager, LLC · CIK 0001910324 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,400,144 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: All outstanding shares of Preferred Stock will automatically convert into shares of Common Stock at the Reporting Person's election and automatically upon the closing of the initial public offering of Arcellx, Inc. (the "Issuer"). The Preferred Stock has no expiration date. F2 · ownership.nature: The reported securities are held directly by SR One Capital Fund I Aggregator, LP. SR One Capital Partners I, LP is the general partner of SR One Capital Fund I Aggregator, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Partners I, LP. Simeon George is the managing member of SR One Capital Management, LLC. Each of SR One Capital Partners I, LP, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document
February 08, 2022 Filed Feb 10, 2022 13:41 UTC	Arcellx, Inc. ACLX · Entity 15294	ConversionCommon Stock	533,389	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-22-008281 · doc4.xml · nonDerivative · entry 3 SR ONE CAPITAL MANAGEMENT, LLC · CIK 0001853723 · 10% owner SR ONE CAPITAL PARTNERS I, LP · CIK 0001853724 · 10% owner SR One Capital Fund I Aggregator LP · CIK 0001848319 · 10% owner SR One Co-Invest II, LLC · CIK 0001867644 · 10% owner George Simeon · CIK 0001595117 · 10% owner SR One Co-Invest II Manager, LLC · CIK 0001910324 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,750,349 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: All outstanding shares of Preferred Stock will automatically convert into shares of Common Stock at the Reporting Person's election and automatically upon the closing of the initial public offering of Arcellx, Inc. (the "Issuer"). The Preferred Stock has no expiration date. F2 · ownership.nature: The reported securities are held directly by SR One Capital Fund I Aggregator, LP. SR One Capital Partners I, LP is the general partner of SR One Capital Fund I Aggregator, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Partners I, LP. Simeon George is the managing member of SR One Capital Management, LLC. Each of SR One Capital Partners I, LP, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document
February 08, 2022 Filed Feb 10, 2022 13:41 UTC	Arcellx, Inc. ACLX · Entity 15294	ConversionCommon Stock	666,651	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-22-008281 · doc4.xml · nonDerivative · entry 2 SR ONE CAPITAL MANAGEMENT, LLC · CIK 0001853723 · 10% owner SR ONE CAPITAL PARTNERS I, LP · CIK 0001853724 · 10% owner SR One Capital Fund I Aggregator LP · CIK 0001848319 · 10% owner SR One Co-Invest II, LLC · CIK 0001867644 · 10% owner George Simeon · CIK 0001595117 · 10% owner SR One Co-Invest II Manager, LLC · CIK 0001910324 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,216,960 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: All outstanding shares of Preferred Stock will automatically convert into shares of Common Stock at the Reporting Person's election and automatically upon the closing of the initial public offering of Arcellx, Inc. (the "Issuer"). The Preferred Stock has no expiration date. F2 · ownership.nature: The reported securities are held directly by SR One Capital Fund I Aggregator, LP. SR One Capital Partners I, LP is the general partner of SR One Capital Fund I Aggregator, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Partners I, LP. Simeon George is the managing member of SR One Capital Management, LLC. Each of SR One Capital Partners I, LP, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document
February 08, 2022 Filed Feb 10, 2022 13:41 UTC	Arcellx, Inc. ACLX · Entity 15294	ConversionCommon Stock	1,550,309	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-22-008281 · doc4.xml · nonDerivative · entry 1 SR ONE CAPITAL MANAGEMENT, LLC · CIK 0001853723 · 10% owner SR ONE CAPITAL PARTNERS I, LP · CIK 0001853724 · 10% owner SR One Capital Fund I Aggregator LP · CIK 0001848319 · 10% owner SR One Co-Invest II, LLC · CIK 0001867644 · 10% owner George Simeon · CIK 0001595117 · 10% owner SR One Co-Invest II Manager, LLC · CIK 0001910324 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,550,309 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: All outstanding shares of Preferred Stock will automatically convert into shares of Common Stock at the Reporting Person's election and automatically upon the closing of the initial public offering of Arcellx, Inc. (the "Issuer"). The Preferred Stock has no expiration date. F2 · ownership.nature: The reported securities are held directly by SR One Capital Fund I Aggregator, LP. SR One Capital Partners I, LP is the general partner of SR One Capital Fund I Aggregator, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Partners I, LP. Simeon George is the managing member of SR One Capital Management, LLC. Each of SR One Capital Partners I, LP, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document
June 13, 2021 Filed Jun 15, 2021 14:29 UTC	Nkarta, Inc. NKTX · Entity 6346	GrantStock Option (right to buy) · Derivative	16,511	$0.00 Strike: $25.03	$0.00	Disclosure SEC source: 0000899243-21-023803 · doc4.xml · derivative · entry 1 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,511 Underlying: Common Stock · 16,511 shares Expires 2031-06-12 F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first to occur of (i) June 13, 2022, or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement). Read SEC document
June 10, 2021 Filed Jun 14, 2021 21:37 UTC	CRISPR Therapeutics AG CRSP · Entity 3852	GrantStock Option (Right to Buy) · Derivative	10,000	$0.00 Strike: $123.71	$0.00	Disclosure SEC source: 0001209191-21-040294 · doc4.xml · derivative · entry 1 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Shares · 10,000 shares Expires 2031-06-10 F1 · derivative.exercise_date: This option was granted on June 10, 2021 with respect to 10,000 Common Shares with 100% of the shares vesting in 12 equal monthly installments beginning on June 30, 2021; provided that the last installment will vest on the earlier of (i) the one year anniversary of the date of grant or (ii) the date of the 2022 Annual General Meeting of Shareholders. Read SEC document
June 02, 2021 Filed Jun 4, 2021 21:44 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	GrantStock Option (right to buy) · Derivative	8,500	$0.00 Strike: $65.64	$0.00	Disclosure SEC source: 0001209191-21-038336 · doc4.xml · derivative · entry 1 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,500 Underlying: Common Stock · 8,500 shares Expires 2031-06-01 F1 · derivative.exercise_date: The shares vest on the one-year anniversary of the date of grant. Read SEC document
March 30, 2021 Filed Apr 1, 2021 22:18 UTC	Design Therapeutics, Inc. DSGN · Entity 4991	ConversionSeries B Preferred Stock · Derivative	1,526,718	$0.00	$0.00	Disclosure SEC source: 0001209191-21-024233 · doc4.xml · derivative · entry 5 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See tootnote Disclosed balance after: 0 Underlying: Common Stock · 936,637 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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering, for no additional consideration at a rate of one share of Common Stock for each 1.63 shares of Preferred Stock, based on the conversion price currently in effect. The Preferred Stock has no expiration date. F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering, for no additional consideration at a rate of one share of Common Stock for each 1.63 shares of Preferred Stock, based on the conversion price currently in effect. The Preferred Stock has no expiration date. F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering, for no additional consideration at a rate of one share of Common Stock for each 1.63 shares of Preferred Stock, based on the conversion price currently in effect. The Preferred Stock has no expiration date. F2 · ownership.nature: The reported securities are held directly by SR One Capital Fund I Aggregator, LP. SR One Capital Partners I, LP is the general partner of SR One Capital Fund I Aggregator, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Partners I, LP. Simeon George, M.D. is the managing member of SR One Capital Management, LLC. Each of SR One Capital Partners I, LP, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document
March 30, 2021 Filed Apr 1, 2021 22:18 UTC	Design Therapeutics, Inc. DSGN · Entity 4991	ConversionSeries A Preferred Stock · Derivative	7,236,938	$0.00	$0.00	Disclosure SEC source: 0001209191-21-024233 · doc4.xml · derivative · entry 4 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 4,439,839 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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering, for no additional consideration at a rate of one share of Common Stock for each 1.63 shares of Preferred Stock, based on the conversion price currently in effect. The Preferred Stock has no expiration date. F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering, for no additional consideration at a rate of one share of Common Stock for each 1.63 shares of Preferred Stock, based on the conversion price currently in effect. The Preferred Stock has no expiration date. F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering, for no additional consideration at a rate of one share of Common Stock for each 1.63 shares of Preferred Stock, based on the conversion price currently in effect. The Preferred Stock has no expiration date. F2 · ownership.nature: The reported securities are held directly by SR One Capital Fund I Aggregator, LP. SR One Capital Partners I, LP is the general partner of SR One Capital Fund I Aggregator, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Partners I, LP. Simeon George, M.D. is the managing member of SR One Capital Management, LLC. Each of SR One Capital Partners I, LP, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document
March 30, 2021 Filed Apr 1, 2021 22:18 UTC	Design Therapeutics, Inc. DSGN · Entity 4991	PurchaseCommon Stock	250,000	$20.00	$5,000,000.00	Disclosure SEC source: 0001209191-21-024233 · doc4.xml · nonDerivative · entry 3 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,626,476 F3 · kind: The shares were purchased in the Issuer's initial public offering. F2 · ownership.nature: The reported securities are held directly by SR One Capital Fund I Aggregator, LP. SR One Capital Partners I, LP is the general partner of SR One Capital Fund I Aggregator, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Partners I, LP. Simeon George, M.D. is the managing member of SR One Capital Management, LLC. Each of SR One Capital Partners I, LP, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document
March 30, 2021 Filed Apr 1, 2021 22:18 UTC	Design Therapeutics, Inc. DSGN · Entity 4991	ConversionCommon Stock	936,637	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-024233 · doc4.xml · nonDerivative · entry 2 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,376,476 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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering, for no additional consideration at a rate of one share of Common Stock for each 1.63 shares of Preferred Stock, based on the conversion price currently in effect. The Preferred Stock has no expiration date. F2 · ownership.nature: The reported securities are held directly by SR One Capital Fund I Aggregator, LP. SR One Capital Partners I, LP is the general partner of SR One Capital Fund I Aggregator, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Partners I, LP. Simeon George, M.D. is the managing member of SR One Capital Management, LLC. Each of SR One Capital Partners I, LP, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document
March 30, 2021 Filed Apr 1, 2021 22:18 UTC	Design Therapeutics, Inc. DSGN · Entity 4991	ConversionCommon Stock	4,439,839	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-024233 · doc4.xml · nonDerivative · entry 1 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 4,439,839 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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering, for no additional consideration at a rate of one share of Common Stock for each 1.63 shares of Preferred Stock, based on the conversion price currently in effect. The Preferred Stock has no expiration date. F2 · ownership.nature: The reported securities are held directly by SR One Capital Fund I Aggregator, LP. SR One Capital Partners I, LP is the general partner of SR One Capital Fund I Aggregator, LP, and SR One Capital Management, LLC is the general partner of SR One Capital Partners I, LP. Simeon George, M.D. is the managing member of SR One Capital Management, LLC. Each of SR One Capital Partners I, LP, SR One Capital Management, LLC and Mr. George may each be deemed to have shared power to vote or dispose of these shares, and each disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. Read SEC document
March 25, 2021 Filed Mar 29, 2021 21:52 UTC	Design Therapeutics, Inc. DSGN · Entity 4991	GrantStock Option (right to buy) · Derivative	15,000	$0.00 Strike: $20.00	$0.00	Disclosure SEC source: 0001209191-21-023462 · doc4.xml · derivative · entry 1 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2031-03-24 F1 · derivative.exercise_date: The shares subject to the option vest in equal monthly installments over the 12 months following March 25, 2021. Read SEC document
September 28, 2020 Filed Sep 28, 2020 17:27 UTC	Principia Biopharma Inc. PRNB · Entity 146423	Disposition to issuerDirector Stock Option (right to buy) · Derivative	10,240	Not disclosed Strike: $62.66	Not disclosed	Disclosure SEC source: 0001209191-20-052233 · doc4.xml · derivative · entry 5 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,240 shares Expires 2030-06-03 F4 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) the Offer Price over (y) the exercise price payable per share under such options. F4 · kind: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) the Offer Price over (y) the exercise price payable per share under such options. F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) the Offer Price over (y) the exercise price payable per share under such options. F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) the Offer Price over (y) the exercise price payable per share under such options. Read SEC document
September 28, 2020 Filed Sep 28, 2020 17:27 UTC	Principia Biopharma Inc. PRNB · Entity 146423	Disposition to issuerDirector Stock Option (right to buy) · Derivative	10,240	Not disclosed Strike: $31.77	Not disclosed	Disclosure SEC source: 0001209191-20-052233 · doc4.xml · derivative · entry 4 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,240 shares Expires 2029-06-10 F4 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) the Offer Price over (y) the exercise price payable per share under such options. F4 · kind: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) the Offer Price over (y) the exercise price payable per share under such options. F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) the Offer Price over (y) the exercise price payable per share under such options. F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) the Offer Price over (y) the exercise price payable per share under such options. Read SEC document
September 28, 2020 Filed Sep 28, 2020 17:27 UTC	Principia Biopharma Inc. PRNB · Entity 146423	Disposition to issuerDirector Stock Option (right to buy) · Derivative	20,475	Not disclosed Strike: $17.00	Not disclosed	Disclosure SEC source: 0001209191-20-052233 · doc4.xml · derivative · entry 3 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,475 shares Expires 2028-09-12 F4 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) the Offer Price over (y) the exercise price payable per share under such options. F4 · kind: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) the Offer Price over (y) the exercise price payable per share under such options. F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) the Offer Price over (y) the exercise price payable per share under such options. F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) the Offer Price over (y) the exercise price payable per share under such options. Read SEC document
September 28, 2020 Filed Sep 28, 2020 17:27 UTC	Principia Biopharma Inc. PRNB · Entity 146423	Disposition to issuerWarrant · Derivative	28,623	Not disclosed Strike: $8.99	Not disclosed	Disclosure SEC source: 0001209191-20-052233 · doc4.xml · derivative · entry 2 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 28,623 shares Expires 2022-12-29 F3 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time, each warrant was converted into the right to receive the Offer Price less the applicable exercise price per share of such warrant. F3 · kind: Pursuant to the Merger Agreement, at the Effective Time, each warrant was converted into the right to receive the Offer Price less the applicable exercise price per share of such warrant. F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each warrant was converted into the right to receive the Offer Price less the applicable exercise price per share of such warrant. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each warrant was converted into the right to receive the Offer Price less the applicable exercise price per share of such warrant. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Simeon J. George is the CEO & Managing Partner of SR One Capital Management LP and as of September 14, 2020 was Chief Executive Officer, President and a Member of the Board of Trustees at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Dr. George disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
September 28, 2020 Filed Sep 28, 2020 17:27 UTC	Principia Biopharma Inc. PRNB · Entity 146423	OtherCommon Stock	2,982,855	$100.00	$298,285,500.00	Disclosure SEC source: 0001209191-20-052233 · doc4.xml · nonDerivative · entry 1 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · kind: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). At the effective time of the Merger (the "Effective Time"), these shares were canceled in exchange for $100.00 per share (the "Offer Price") in cash, without interest and subject to any applicable withholding taxes. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Simeon J. George is the CEO & Managing Partner of SR One Capital Management LP and as of September 14, 2020 was Chief Executive Officer, President and a Member of the Board of Trustees at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Dr. George disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
July 09, 2020 Filed Jul 14, 2020 01:57 UTC	Nkarta, Inc. NKTX · Entity 6346	GrantStock Option (right to buy) · Derivative	10,700	$0.00 Strike: $18.00	$0.00	Disclosure SEC source: 0000899243-20-019051 · doc4.xml · derivative · entry 1 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,700 Underlying: Common Stock · 10,700 shares Expires 2030-07-08 F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first anniversary of July 9, 2020, or, if earlier, on the day immediately preceding the first annual meeting of the Issuer's stockholders in 2021 at which one or more members of the Issuer's board of directors are to be elected. Each grant, to the extent outstanding and otherwise unvested, will become fully vest should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement). Read SEC document
June 15, 2020 Filed Jun 17, 2020 22:58 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	GrantStock Option (right to buy) · Derivative	8,500	$0.00 Strike: $65.39	$0.00	Disclosure SEC source: 0001209191-20-037413 · doc4.xml · derivative · entry 1 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,500 Underlying: Common Stock · 8,500 shares Expires 2030-06-14 F1 · derivative.exercise_date: The shares vest on the one-year anniversary of the date of grant. Read SEC document
June 11, 2020 Filed Jun 15, 2020 20:31 UTC	CRISPR Therapeutics AG CRSP · Entity 3852	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $59.70	$0.00	Disclosure SEC source: 0001209191-20-036614 · doc4.xml · derivative · entry 1 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Shares · 15,000 shares Expires 2030-06-11 F1 · derivative.exercise_date: This option was granted on June 11, 2020 with respect to 15,000 Common Shares with 100% of the shares vesting in 12 equal monthly installments beginning on June 30, 2020; provided that the last installment will vest on the earlier of (i) the one year anniversary of the date of grant or (ii) the date of the 2021 Annual General Meeting of Shareholders. Read SEC document
June 04, 2020 Filed Jun 8, 2020 20:08 UTC	Principia Biopharma Inc. PRNB · Entity 146423	GrantDirector Stock Option (right to buy) · Derivative	10,240	$0.00 Strike: $62.66	$0.00	Disclosure SEC source: 0001209191-20-035142 · doc4.xml · derivative · entry 1 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,240 Underlying: Common Stock · 10,240 shares Expires 2030-06-03 F1 · derivative.exercise_date: The stock option vests in equal monthly installments over a one year period such that the option is fully vested on the first anniversary of the date of grant, subject to the continuing service of the Reporting Person on each vesting date. The stock option was granted to the Reporting Person as director's compensation. As the Chief Executive Officer, President and a Member of the Board of Trustees at S.R. One, Limited and an employee of GlaxoSmithKline LLC, the Reporting Person is obligated to transfer any shares issued under the stock option to S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Read SEC document
May 21, 2020 Filed May 26, 2020 21:57 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	PurchaseCommon Stock	83,333	$60.00	$4,999,980.00	Disclosure SEC source: 0001209191-20-032147 · doc4.xml · nonDerivative · entry 1 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,253,660 F1 · kind: Reflects shares of Common Stock of Turning Point Therapeutics, Inc (the "Issuer") that were purchased by S.R. One, Limited in connection with the Issuer's public offering. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Simeon J. George is the Chief Executive Officer, President and a Member of the Board of Trustees at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
October 18, 2019 Filed Oct 22, 2019 16:11 UTC	Principia Biopharma Inc. PRNB · Entity 146423	PurchaseCommon Stock	357,142	$28.00	$9,999,976.00	Disclosure SEC source: 0001209191-19-053771 · doc4.xml · nonDerivative · entry 1 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,982,855 F1 · shares: Reflects shares of Common Stock of Principia Biopharma Inc. (the "Issuer") that were purchased in connection with the Issuer's public offering. F2 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George is the CEO and President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
September 10, 2019 Filed Sep 11, 2019 22:42 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	PurchaseCommon Stock	177,777	$45.00	$7,999,965.00	Disclosure SEC source: 0001209191-19-049226 · doc4.xml · nonDerivative · entry 1 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,170,327 F1 · kind: Reflects shares of Common Stock of Turning Point Therapeutics, Inc (the "Issuer") that were purchased by S.R. One, Limited in connection with the Issuer's public offering. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Simeon J. George is the Chief Executive Officer, President and a Member of the Board of Trustees at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
June 11, 2019 Filed Jun 11, 2019 18:55 UTC	Principia Biopharma Inc. PRNB · Entity 146423	GrantDirector Stock Option (right to buy) · Derivative	10,240	$0.00 Strike: $31.77	$0.00	Disclosure SEC source: 0001209191-19-036236 · doc4.xml · derivative · entry 1 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,240 Underlying: Common Stock · 10,240 shares Expires 2029-06-10 F1 · derivative.exercise_date: The stock option vests in equal monthly installments over a one year period such that the option is fully vested on the first anniversary of the date of grant, subject to the continuing service of the Reporting Person on each vesting date. The stock option was granted to the Reporting Person as director's compensation. As President of S. R. One, Limited and an employee of GlaxoSmithKline LLC, the Reporting Person is obligated to transfer any shares issued under the stock option to S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Read SEC document
June 11, 2019 Filed Jun 13, 2019 21:04 UTC	CRISPR Therapeutics AG CRSP · Entity 3852	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $43.52	$0.00	Disclosure SEC source: 0000899243-19-016843 · doc4.xml · derivative · entry 1 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Shares · 15,000 shares Expires 2029-06-11 F1 · derivative.exercise_date: This option was granted on June 11, 2019 with respect to 15,000 Common Shares with 100% of the shares vesting in 12 equal monthly installments beginning on June 30, 2019; provided that the last installment will vest on the earlier of (i) the one year anniversary of the date of grant or (ii) the date of the 2020 Annual General Meeting of Shareholders. Read SEC document
April 22, 2019 Filed Apr 24, 2019 22:04 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	ConversionSeries D Preferred Stock · Derivative	2,105,259	$0.00	$0.00	Disclosure SEC source: 0001209191-19-025789 · doc4.xml · derivative · entry 6 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By S.R.One, Limited Disclosed balance after: 0 Underlying: Common Stock · 546,820 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: Automatic conversion, in connection with the Issuer's initial public offering, of each share of preferred stock into 0.25974026 shares of common stock. The shares have no expiration date. F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of each share of preferred stock into 0.25974026 shares of common stock. The shares have no expiration date. F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of each share of preferred stock into 0.25974026 shares of common stock. The shares have no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George holds the title of Vice President at S.R. One, Limited and is an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
April 22, 2019 Filed Apr 24, 2019 22:04 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	ConversionSeries C Preferred Stock · Derivative	4,314,809	$0.00	$0.00	Disclosure SEC source: 0001209191-19-025789 · doc4.xml · derivative · entry 5 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By S.R. One, Limited Disclosed balance after: 0 Underlying: Common Stock · 1,120,730 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: Automatic conversion, in connection with the Issuer's initial public offering, of each share of preferred stock into 0.25974026 shares of common stock. The shares have no expiration date. F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of each share of preferred stock into 0.25974026 shares of common stock. The shares have no expiration date. F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of each share of preferred stock into 0.25974026 shares of common stock. The shares have no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George holds the title of Vice President at S.R. One, Limited and is an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
April 22, 2019 Filed Apr 24, 2019 22:04 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	GrantStock Option (right to buy) · Derivative	15,000	$0.00 Strike: $27.06	$0.00	Disclosure SEC source: 0001209191-19-025789 · doc4.xml · derivative · entry 4 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-04-21 F4 · derivative.exercise_date: The option will become fully vested on the date of the Issuer's 2020 annual meeting of stockholders. F5 · ownership.direct: As a Vice President of S.R. One, Limited and an employee of GlaxoSmithKline LLC, Simeon George is obligated to transfer any shares issued under the stock option to S.R One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Read SEC document
April 22, 2019 Filed Apr 24, 2019 22:04 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	PurchaseCommon Stock	325,000	$18.00	$5,850,000.00	Disclosure SEC source: 0001209191-19-025789 · doc4.xml · nonDerivative · entry 3 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By S.R.One, Limited Disclosed balance after: 1,992,550 F3 · kind: The shares were purchased at the Issuer's initial public offering. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George holds the title of Vice President at S.R. One, Limited and is an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
April 22, 2019 Filed Apr 24, 2019 22:04 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	ConversionCommon Stock	546,820	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-19-025789 · doc4.xml · nonDerivative · entry 2 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By S.R.One, Limited Disclosed balance after: 1,667,550 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: Automatic conversion, in connection with the Issuer's initial public offering, of each share of preferred stock into 0.25974026 shares of common stock. The shares have no expiration date. F1 · price: Automatic conversion, in connection with the Issuer's initial public offering, of each share of preferred stock into 0.25974026 shares of common stock. The shares have no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George holds the title of Vice President at S.R. One, Limited and is an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
April 22, 2019 Filed Apr 24, 2019 22:04 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	ConversionCommon Stock	1,120,730	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-19-025789 · doc4.xml · nonDerivative · entry 1 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By S.R.One, Limited Disclosed balance after: 1,120,730 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of each share of preferred stock into 0.25974026 shares of common stock. The shares have no expiration date. F1 · price: Automatic conversion, in connection with the Issuer's initial public offering, of each share of preferred stock into 0.25974026 shares of common stock. The shares have no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George holds the title of Vice President at S.R. One, Limited and is an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
September 18, 2018 Filed Sep 20, 2018 18:50 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionSeries C Preferred Stock · Derivative	167,537	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051833 · doc4.xml · derivative · entry 11 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 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. F1 · derivative.exercise_price: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F1 · price: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F1 · derivative.exercise_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F1 · derivative.expiration_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
September 18, 2018 Filed Sep 20, 2018 18:50 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionSeries B-3 Preferred Stock · Derivative	544,047	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051833 · doc4.xml · derivative · entry 10 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 544,047 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, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F1 · price: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F1 · derivative.exercise_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F1 · derivative.expiration_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
September 18, 2018 Filed Sep 20, 2018 18:50 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionSeries B-2 Preferred Stock · Derivative	260,617	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051833 · doc4.xml · derivative · entry 9 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 260,617 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, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F1 · price: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F1 · derivative.exercise_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F1 · derivative.expiration_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
September 18, 2018 Filed Sep 20, 2018 18:50 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionSeries B-1 Preferred Stock · Derivative	312,741	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051833 · doc4.xml · derivative · entry 8 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 312,741 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, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F1 · price: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F1 · derivative.exercise_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F1 · derivative.expiration_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
September 18, 2018 Filed Sep 20, 2018 18:50 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionSeries A Preferred Stock · Derivative	1,070,771	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051833 · doc4.xml · derivative · entry 7 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,070,771 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F1 · price: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F1 · derivative.exercise_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F1 · derivative.expiration_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
September 18, 2018 Filed Sep 20, 2018 18:50 UTC	Principia Biopharma Inc. PRNB · Entity 146423	PurchaseCommon Stock	270,000	$17.00	$4,590,000.00	Disclosure SEC source: 0001209191-18-051833 · doc4.xml · nonDerivative · entry 6 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,625,713 F3 · shares: Reflects shares of the Issuer's Common Stock that were purchased in connection with the Issuer's initial public offering. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
September 18, 2018 Filed Sep 20, 2018 18:50 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionCommon Stock	167,537	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051833 · doc4.xml · nonDerivative · entry 5 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,355,713 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
September 18, 2018 Filed Sep 20, 2018 18:50 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionCommon Stock	544,047	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051833 · doc4.xml · nonDerivative · entry 4 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,188,176 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
September 18, 2018 Filed Sep 20, 2018 18:50 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionCommon Stock	260,617	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051833 · doc4.xml · nonDerivative · entry 3 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,644,129 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
September 18, 2018 Filed Sep 20, 2018 18:50 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionCommon Stock	312,741	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051833 · doc4.xml · nonDerivative · entry 2 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,383,512 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
September 18, 2018 Filed Sep 20, 2018 18:50 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionCommon Stock	1,070,771	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-051833 · doc4.xml · nonDerivative · entry 1 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,070,771 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, 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 Preferred Stock had no expiration date. F2 · ownership.nature: S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of the shares reported herein. Simeon J. George is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. Read SEC document
September 13, 2018 Filed Jan 10, 2019 21:48 UTC	Principia Biopharma Inc. PRNB · Entity 146423	GrantDirector Stock Option (right to buy) · Derivative	20,475	$0.00 Strike: $17.00	$0.00	Disclosure SEC source: 0001209191-19-003365 · doc4.xml · derivative · entry 1 George Simeon · CIK 0001595117 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,475 Underlying: Common Stock · 20,475 shares Expires 2028-09-12 F1 · derivative.exercise_date: The stock option vests in equal monthly installments over a three year period, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date. The stock option was granted to the Reporting Person as director's compensation. As a Vice President of S. R. One, Limited and an employee of GlaxoSmithKline LLC, the Reporting Person is obligated to transfer any shares issued under the stock option to S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Read SEC document
June 15, 2018 Filed Jun 19, 2018 20:55 UTC	CRISPR Therapeutics AG CRSP · Entity 3852	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $59.31	$0.00	Disclosure SEC source: 0000899243-18-017194 · doc4.xml · derivative · entry 1 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Shares · 15,000 shares Expires 2028-06-15 F1 · derivative.exercise_date: This option was granted on June 15, 2018 with respect to 15,000 Common Shares with 100% of the shares vesting in 12 equal monthly installments beginning on May 30, 2018. The stock option was granted to the Reporting Person as director's compensation. As a Vice President of S.R. One, Limited and an employee of GlaxoSmithKline LLC, the Reporting Person is obligated to transfer any shares issued under the stock option to S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Read SEC document
May 31, 2017 Filed Jun 2, 2017 20:37 UTC	CRISPR Therapeutics AG CRSP · Entity 3852	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $13.62	$0.00	Disclosure SEC source: 0000899243-17-015173 · doc4.xml · derivative · entry 1 George Simeon · CIK 0001595117 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Shares · 15,000 shares Expires 2027-05-31 F1 · derivative.exercise_date: This stock option was granted on May 31, 2017 with respect to 15,000 Common Shares with 100% of the shares vesting in 12 equal monthly installments beginning June 30, 2017. The stock option was granted to the Reporting Person as director's compensation. As a Vice President of S.R. One, Limited and an employee of GlaxoSmithKline LLC, the Reporting Person is obligated to transfer any shares issued under the stock option to S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaoxSmithKline plc. 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.