Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALIMERA SCIENCES INCALIM · Entity 11664 | Director | January 04, 2023 | January 06, 2023 |
| American Oncology Network, Inc.AONC · Entity 88884 | 10% owner | October 30, 2023 | November 09, 2023 |
| LABCORP HOLDINGS INC.LH · Entity 1277 | Director | February 11, 2026 | February 13, 2026 |
| MELINTA THERAPEUTICS, INC. /NEW/MLNT · Entity 154249 | Director | June 12, 2018 | June 14, 2018 |
| Ocugen, Inc.HSGX · Entity 5550 | Director | June 15, 2018 | June 19, 2018 |
| Strongbridge Biopharma plcSBBP · Entity 131608 | Director | October 05, 2021 | October 06, 2021 |
| Venus Concept Inc.VERO · Entity 55304 | Director | March 24, 2023 | March 28, 2023 |
| Xeris Biopharma Holdings, Inc.XERS · Entity 4670 | Director | June 04, 2026 | June 05, 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.
ALIMERA SCIENCES INC
Report date January 04, 2023 · Filed January 06, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.72 · Expires 2033-01-03 | Direct | 6,000 |
Reported balance
After 2023-01-04 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-01-04 · Grant · Acquired 6,000 · Balance 6,000 F1: Vests in full on the date of the Issuer's annual meeting of stockholders in 2023 or any special meeting held in lieu thereof, provided the Reporting Person provides continuous service to the Issuer through such date. |
Filing footnotes · ownership attribution and instrument terms
F1: Vests in full on the date of the Issuer's annual meeting of stockholders in 2023 or any special meeting held in lieu thereof, provided the Reporting Person provides continuous service to the Issuer through such date.
American Oncology Network, Inc.
Report date October 30, 2023 · Filed November 09, 2023
Jointly reported with HealthQuest Tactical Opportunities Fund, L.P., HealthQuest TOF Management, L.L.C.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series A Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $10.00 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2023-10-30 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: Each share of the Series A Preferred Stock is convertible into shares of Class A Common Stock of the Issuer at any time, at the Reporting Person's election. The number of shares of the Issuer's Class A Common Stock received upon conversion of a share of Series A Preferred Stock equals the quotient of (A) the sum of (i) the original issue price of $10.00, as adjusted for any stock split, stock dividend, combination, or other recapitalization or reclassification effected after September 20, 2023, and (ii) any accrued and unpaid dividends on such share, divided by (B) an initial conversion price of $10.00, which is subject to certain anti-dilution adjustments. The Series A Preferred Stock is perpetual and therefore has no expiration date. F2: The shares are held directly by HealthQuest Tactical Opportunities Fund, L.P. ("HealthQuest Tactical Opportunities"). HealthQuest TOF Management, L.L.C. ("HealthQuest TOF Management") is HealthQuest Tactical Opportunities' general partner, and Dr. Garheng Kong is HealthQuest TOF Management's managing member. HealthQuest TOF Management and Dr. Kong may be deemed to have sole voting and dispositive power over the shares held by HealthQuest Tactical Opportunities. HealthQuest TOF Management and Dr. Kong disclaim beneficial ownership of all shares of common stock owned by HealthQuest Tactical Opportunities except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the Series A Preferred Stock is convertible into shares of Class A Common Stock of the Issuer at any time, at the Reporting Person's election. The number of shares of the Issuer's Class A Common Stock received upon conversion of a share of Series A Preferred Stock equals the quotient of (A) the sum of (i) the original issue price of $10.00, as adjusted for any stock split, stock dividend, combination, or other recapitalization or reclassification effected after September 20, 2023, and (ii) any accrued and unpaid dividends on such share, divided by (B) an initial conversion price of $10.00, which is subject to certain anti-dilution adjustments. The Series A Preferred Stock is perpetual and therefore has no expiration date.
F2: The shares are held directly by HealthQuest Tactical Opportunities Fund, L.P. ("HealthQuest Tactical Opportunities"). HealthQuest TOF Management, L.L.C. ("HealthQuest TOF Management") is HealthQuest Tactical Opportunities' general partner, and Dr. Garheng Kong is HealthQuest TOF Management's managing member. HealthQuest TOF Management and Dr. Kong may be deemed to have sole voting and dispositive power over the shares held by HealthQuest Tactical Opportunities. HealthQuest TOF Management and Dr. Kong disclaim beneficial ownership of all shares of common stock owned by HealthQuest Tactical Opportunities except to the extent of any pecuniary interest therein.
LABCORP HOLDINGS INC.
Report date February 11, 2026 · Filed February 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 13,739 |
Reported balance
After 2026-02-11 transaction · row 1
1 source rowRow 1 · 2026-02-11 · Exercise / conversion · Acquired 897 · Balance 13,739 F1: Each Restricted Stock Unit represents the contingent right to receive one share of Labcorp Holdings Inc. Common Stock. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 773 |
Reported balance
After 2026-02-11 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-02-11 · Exercise / conversion · Disposed 897 · Balance 773 F1: Each Restricted Stock Unit represents the contingent right to receive one share of Labcorp Holdings Inc. Common Stock. F2: The Restricted Stock Units vested fully on February 11, 2026. F3: This number reflects the aggregate number of Restricted Stock Units held by the reporting person. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit represents the contingent right to receive one share of Labcorp Holdings Inc. Common Stock.
F2: The Restricted Stock Units vested fully on February 11, 2026.
F3: This number reflects the aggregate number of Restricted Stock Units held by the reporting person.
MELINTA THERAPEUTICS, INC. /NEW/
Report date June 12, 2018 · Filed June 14, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.45 · Expires 2028-04-20 | Direct | 25,000 |
Reported balance
After 2018-06-12 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-12 · Grant · Acquired 25,000 · Balance 25,000 F1: The option grant was approved by the compensation committee of the Company's board of directors on April 20, 2018, subject to stockholder approval of an amendment to the stock option plan under which the option was granted. The Company's stockholders approved the plan amendment on June 12, 2018. F2: One-third of the shares underlying the stock option will vest and become exercisable on April 20, 2019. The remainder will vest and become exercisable in substantially equal monthly installments during the two year period commencing on April 20, 2019. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.45 · Expires 2028-04-20 | Direct | 9,100 |
Reported balance
After 2018-06-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-06-12 · Grant · Acquired 9,100 · Balance 9,100 F1: The option grant was approved by the compensation committee of the Company's board of directors on April 20, 2018, subject to stockholder approval of an amendment to the stock option plan under which the option was granted. The Company's stockholders approved the plan amendment on June 12, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: The option grant was approved by the compensation committee of the Company's board of directors on April 20, 2018, subject to stockholder approval of an amendment to the stock option plan under which the option was granted. The Company's stockholders approved the plan amendment on June 12, 2018.
F2: One-third of the shares underlying the stock option will vest and become exercisable on April 20, 2019. The remainder will vest and become exercisable in substantially equal monthly installments during the two year period commencing on April 20, 2019.
Ocugen, Inc.
Report date June 15, 2018 · Filed June 19, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.97 · Expires 2028-06-14 | Direct | 25,000 |
Reported balance
After 2018-06-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-15 · Grant · Acquired 25,000 · Balance 25,000 F1: This option vests and becomes exercisable with respect to 8.33% of the option shares for each one-month period following June 15, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: This option vests and becomes exercisable with respect to 8.33% of the option shares for each one-month period following June 15, 2018.
Strongbridge Biopharma plc
Report date October 05, 2021 · Filed October 06, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-10-05 transaction · row 1
1 source rowRow 1 · 2021-10-05 · Disposition to issuer · Disposed 63,993 · Balance 0 F1: Ordinary shares of Issuer were converted into shares of common stock of Xeris Biopharma Holdings, Inc. ("HoldCo") pursuant to the Transaction Agreement (the "Agreement"), dated May 24, 2021, among the Issuer, Xeris Pharmaceuticals, Inc., HoldCo and Wells MergerSub, Inc. Under the Agreement, each ordinary share of Issuer was exchanged for 0.784 of a share of HoldCo common stock, and cash in lieu of fractional shares, plus one contingent value right (a "CVR") worth up to an additional $1.00, payable in cash, HoldCo common stock or a combination thereof at HoldCo's sole election. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-10-05 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-10-05 · Disposition to issuer · Disposed 154,385 · Balance 0 F2: Under the Agreement, each option to purchase ordinary shares of Issuer was automatically converted into an option to acquire a number of shares of HoldCo common stock determined by multiplying the number of ordinary shares of Issuer subject to such option by 0.784 (rounded down to the nearest whole share), at an exercise price per share (rounded up to the nearest whole cent) determined by dividing the per-share exercise price of Issuer option by 0.784, with the same terms and conditions as applied to the applicable option prior to closing of the transaction. HoldCo issued one CVR with respect to each ordinary share of Issuer subject to each option prior to the adjustment described herein, subject to the same vesting and forfeiture conditions applicable to the corresponding option. |
Filing footnotes · ownership attribution and instrument terms
F1: Ordinary shares of Issuer were converted into shares of common stock of Xeris Biopharma Holdings, Inc. ("HoldCo") pursuant to the Transaction Agreement (the "Agreement"), dated May 24, 2021, among the Issuer, Xeris Pharmaceuticals, Inc., HoldCo and Wells MergerSub, Inc. Under the Agreement, each ordinary share of Issuer was exchanged for 0.784 of a share of HoldCo common stock, and cash in lieu of fractional shares, plus one contingent value right (a "CVR") worth up to an additional $1.00, payable in cash, HoldCo common stock or a combination thereof at HoldCo's sole election.
F2: Under the Agreement, each option to purchase ordinary shares of Issuer was automatically converted into an option to acquire a number of shares of HoldCo common stock determined by multiplying the number of ordinary shares of Issuer subject to such option by 0.784 (rounded down to the nearest whole share), at an exercise price per share (rounded up to the nearest whole cent) determined by dividing the per-share exercise price of Issuer option by 0.784, with the same terms and conditions as applied to the applicable option prior to closing of the transaction. HoldCo issued one CVR with respect to each ordinary share of Issuer subject to each option prior to the adjustment described herein, subject to the same vesting and forfeiture conditions applicable to the corresponding option.
Venus Concept Inc.
Report date March 24, 2023 · Filed March 28, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.19 · Expires 2033-03-24 | Direct | 75,000 |
Reported balance
After 2023-03-24 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-03-24 · Grant · Acquired 75,000 · Balance 75,000 F1: The options vest with respect to 1/16th of the underlying Common Stock on each quarterly anniversary of the date of grant, subject to continued service through each applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The options vest with respect to 1/16th of the underlying Common Stock on each quarterly anniversary of the date of grant, subject to continued service through each applicable vesting date.
Xeris Biopharma Holdings, Inc.
Report date June 04, 2026 · Filed June 05, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 238,337 |
Reported balance
After 2026-06-04 transaction · row 1
1 source rowRow 1 · 2026-06-04 · Grant · Acquired 24,193 · Balance 238,337 F1: These shares were acquired pursuant to a restricted stock unit grant under the Company's 2018 Stock Option and Incentive Plan (the "Plan"). Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in full upon the earlier to occur of June 4, 2026 or the date of the Company's next annual meeting of stockholders, subject to continued service through such vesting date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.15 · Expires 2036-06-04 | Direct | 32,996 |
Reported balance
After 2026-06-04 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-06-04 · Grant · Acquired 32,996 · Balance 32,996 F2: These stock options were acquired pursuant to a grant under the Plan. These stock options shall vest in full upon the earlier to occur of June 4, 2026 or the date of the Company's next annual meeting of stockholders, subject to continued service through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were acquired pursuant to a restricted stock unit grant under the Company's 2018 Stock Option and Incentive Plan (the "Plan"). Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in full upon the earlier to occur of June 4, 2026 or the date of the Company's next annual meeting of stockholders, subject to continued service through such vesting date.
F2: These stock options were acquired pursuant to a grant under the Plan. These stock options shall vest in full upon the earlier to occur of June 4, 2026 or the date of the Company's next annual meeting of stockholders, subject to continued service through such vesting date.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
AVEDRO INC
Report date November 21, 2019 · Filed November 26, 2019
Section 16 reporting ended · disclosed 2019-11-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2019-11-21 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-11-21 · Disposition to issuer · Disposed 1,437,096 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated as of August 7, 2019, by and among Avedro, Inc. (the "Issuer"), Glaukos Corporation ("Parent") and Atlantic Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Merger Sub"), on November 21, 2019, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer continuing as the surviving corporation. Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each share of common stock of the Issuer ("Issuer Common Stock") that was issued and outstanding immediately prior to the Effective Time was automatically cancelled and converted into the right to receive 0.365 of a share of Parent's common stock ("Parent Common Stock"). The closing price of shares of the Parent Common Stock on November 21, 2019 was $63.07 per share. F2: The shares are directly held by HealthQuest Partners II, L.P. ("HealthQuest"). HealthQuest Venture Management II, L.L.C. ("HealthQuest Management") is the general partner of HealthQuest. HealthQuest Management may be deemed to have voting and dispositive power over the shares held by HealthQuest. The Reporting Person is the managing member of HealthQuest Management and disclaims beneficial interest over all of the shares held by HealthQuest except to the extent of his pecuniary interest therein. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.73 · Expires 2029-01-08 | Direct | 0 |
Reported balance
After 2019-11-21 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-11-21 · Disposition to issuer · Disposed 8,314 · Balance 0 F3: At the Effective Time, each outstanding and unexercised option to purchase Issuer Common Stock (whether vested or unvested) immediately prior to the Effective Time, was assumed by Parent and converted into an option to purchase shares of Parent Common Shares (rounded down to the nearest whole share) using a conversion ratio designed to preserve the intrinsic value of such option of Issuer. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-11-21 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-11-21 · Disposition to issuer · Disposed 3,005 · Balance 0 F4: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F5: At the Effective Time, each outstanding restricted stock unit ("Issuer RSU") (excluding any Issuer RSU that vested prior to or as a result of the consummation of the Merger and which settled in shares of Issuer Common Stock that were converted into the right to receive shares of Parent Common Stock as a result of the Merger) was assumed by Parent and converted into the right to receive shares of Parent Common Stock (rounded down to the nearest whole share) using a conversion ratio designed to preserve the intrinsic value of such Issuer RSU. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated as of August 7, 2019, by and among Avedro, Inc. (the "Issuer"), Glaukos Corporation ("Parent") and Atlantic Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Merger Sub"), on November 21, 2019, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer continuing as the surviving corporation. Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each share of common stock of the Issuer ("Issuer Common Stock") that was issued and outstanding immediately prior to the Effective Time was automatically cancelled and converted into the right to receive 0.365 of a share of Parent's common stock ("Parent Common Stock"). The closing price of shares of the Parent Common Stock on November 21, 2019 was $63.07 per share.
F2: The shares are directly held by HealthQuest Partners II, L.P. ("HealthQuest"). HealthQuest Venture Management II, L.L.C. ("HealthQuest Management") is the general partner of HealthQuest. HealthQuest Management may be deemed to have voting and dispositive power over the shares held by HealthQuest. The Reporting Person is the managing member of HealthQuest Management and disclaims beneficial interest over all of the shares held by HealthQuest except to the extent of his pecuniary interest therein.
F3: At the Effective Time, each outstanding and unexercised option to purchase Issuer Common Stock (whether vested or unvested) immediately prior to the Effective Time, was assumed by Parent and converted into an option to purchase shares of Parent Common Shares (rounded down to the nearest whole share) using a conversion ratio designed to preserve the intrinsic value of such option of Issuer.
F4: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.
F5: At the Effective Time, each outstanding restricted stock unit ("Issuer RSU") (excluding any Issuer RSU that vested prior to or as a result of the consummation of the Merger and which settled in shares of Issuer Common Stock that were converted into the right to receive shares of Parent Common Stock as a result of the Merger) was assumed by Parent and converted into the right to receive shares of Parent Common Stock (rounded down to the nearest whole share) using a conversion ratio designed to preserve the intrinsic value of such Issuer RSU.
CASTLE BIOSCIENCES INC
Report date May 12, 2020 · Filed May 19, 2020 · Amendment
Jointly reported with Sofinnova HealthQuest Partners, L.P., HealthQuest Venture Management, L.L.C.
Section 16 reporting ended · disclosed 2020-05-19. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,433,577 |
Last balance in matching sequence
After 2020-05-12 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2020-05-12 · Sale · Disposed 50,000 · Balance 1,633,577 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Healthquest Partners, L.P. on December 17, 2019. F2: Represents the weighted-average sale price per share of a series of transactions, all of which were executed on May 12, 2020. The actual sale prices ranged from a low of $33.034 to a high of $33.04, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Castle Biosciences, Inc. or a Castle Biosciences, Inc. security holder full information regarding the number of shares sold at each price within the range. F3: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Row 2 · 2020-05-12 · Sale · Disposed 100,000 · Balance 1,533,577 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Healthquest Partners, L.P. on December 17, 2019. F4: Represents the weighted-average sale price per share of a series of transactions, all of which were executed on May 12, 2020. The actual sale prices ranged from a low of $34.0861 to a high of $34.6399, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Castle Biosciences, Inc. or a Castle Biosciences, Inc. security holder full information regarding the number of shares sold at each price within the range. F3: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Row 3 · 2020-05-12 · Sale · Disposed 100,000 · Balance 1,433,577 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Healthquest Partners, L.P. on December 17, 2019. F5: Represents the weighted-average sale price per share of a series of transactions, all of which were executed on May 12, 2020. The actual sale prices ranged from a low of $35.175 to a high of $35.665, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Castle Biosciences, Inc. or a Castle Biosciences, Inc. security holder full information regarding the number of shares sold at each price within the range. F3: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Healthquest Partners, L.P. on December 17, 2019.
F2: Represents the weighted-average sale price per share of a series of transactions, all of which were executed on May 12, 2020. The actual sale prices ranged from a low of $33.034 to a high of $33.04, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Castle Biosciences, Inc. or a Castle Biosciences, Inc. security holder full information regarding the number of shares sold at each price within the range.
F3: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein.
F4: Represents the weighted-average sale price per share of a series of transactions, all of which were executed on May 12, 2020. The actual sale prices ranged from a low of $34.0861 to a high of $34.6399, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Castle Biosciences, Inc. or a Castle Biosciences, Inc. security holder full information regarding the number of shares sold at each price within the range.
F5: Represents the weighted-average sale price per share of a series of transactions, all of which were executed on May 12, 2020. The actual sale prices ranged from a low of $35.175 to a high of $35.665, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Castle Biosciences, Inc. or a Castle Biosciences, Inc. security holder full information regarding the number of shares sold at each price within the range.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 02, 2021 Filed Feb 5, 2021 01:40 UTC | LABCORP HOLDINGS INC. LH · Entity 1277 | GrantRestricted Stock Unit · Derivative | 771 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-004075 · form4.xml · derivative · entry 1 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,757 Underlying: Common Stock · 771 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of Laboratory Corporation of America Holdings Common Stock. F2 · derivative.exercise_date: The Restricted Stock Units vest fully on February 2, 2022. F2 · derivative.expiration_date: The Restricted Stock Units vest fully on February 2, 2022. F3 · balance_after: This number reflects the aggregate number of Restricted Stock Units held by the reporting person. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 20:51 UTC | ALIMERA SCIENCES INC ALIM · Entity 11664 | GrantStock Option (Right to Buy) · Derivative | 3,333 | $0.00 Strike: $6.70 | $0.00 |
DisclosureSEC source: 0001267602-20-000100 · wf-form4_159285907021394.xml · derivative · entry 1 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,333 Underlying: Common Stock · 3,333 shares Expires 2030-06-17 F1 · derivative.exercise_date: Vests in equal monthly installments over 12 months starting one month after the grant date (June 18, 2020), provided the Reporting Person provides continuous service to the Issuer through the applicable vesting date. Read SEC document |
| June 16, 2020 Filed Jun 18, 2020 20:44 UTC | Venus Concept Inc. VERO · Entity 55304 | ConversionSeries A Preferred Stock · Derivative | 120,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001435183-20-000003 · edgar.xml · derivative · entry 2 Kong Garheng · CIK 0001435183 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 0 Underlying: Common Stock · 1,200,000 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 shares of Series A Preferred Stock were originally purchased from the Issuer at a purchase price of $2.50 per unit (consisting of one-tenth of one share of Series A Preferred Stock and 0.75 of a Warrant, with each whole Warrant exercisable for one share of Common Stock, at an exercise price of $3.50 per share). Each share of Series A Preferred Stock converted into ten shares of Common Stock for no additional consideration. F3 · derivative.expiration_date: The Series A Preferred Stock had no expiration date. F2 · ownership.nature: Held by HealthQuest Partners II, L.P. ("HealthQuest"). HealthQuest Venture Management II, L.L.C. ("HQVM II"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM II, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM II disclaim beneficial ownership of all shares held by HealthQuest except to the extent of any pecuniary interests therein. Read SEC document |
| June 16, 2020 Filed Jun 18, 2020 20:44 UTC | Venus Concept Inc. VERO · Entity 55304 | ConversionCommon Stock | 1,200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001435183-20-000003 · edgar.xml · nonDerivative · entry 1 Kong Garheng · CIK 0001435183 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 5,195,621 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 shares of Series A Preferred Stock were originally purchased from the Issuer at a purchase price of $2.50 per unit (consisting of one-tenth of one share of Series A Preferred Stock and 0.75 of a Warrant, with each whole Warrant exercisable for one share of Common Stock, at an exercise price of $3.50 per share). Each share of Series A Preferred Stock converted into ten shares of Common Stock for no additional consideration. F2 · ownership.nature: Held by HealthQuest Partners II, L.P. ("HealthQuest"). HealthQuest Venture Management II, L.L.C. ("HQVM II"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM II, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM II disclaim beneficial ownership of all shares held by HealthQuest except to the extent of any pecuniary interests therein. Read SEC document |
| May 15, 2020 Filed May 18, 2020 20:51 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | Tax withholdingOrdinary Shares | 19,044 | $2.86 | $54,465.84 |
DisclosureSEC source: 0001179110-20-006240 · edgar.xml · nonDerivative · entry 1 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,956 F1 · shares: Shares withheld by Strongbridge Biopharma plc to satisfy taxes payable in connection with the vesting of previously awarded restricted stock units. Read SEC document |
| May 14, 2020 Filed May 15, 2020 21:28 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | GrantOrdinary Shares | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-006113 · edgar.xml · nonDerivative · entry 1 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 F1 · shares: Represents a grant of restricted stock units, which vest in full on May 14, 2021, provided that the Reporting Person continues to serve as a member of the board of directors of the Issuer through that date. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. Read SEC document |
| May 12, 2020 Filed May 14, 2020 10:02 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | SaleCommon Stock | 250,000 | $34.50 | $8,624,600.00 |
DisclosureSEC source: 0001104659-20-061078 · tm209687d1_form4.xml · nonDerivative · entry 1 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,433,577 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Healthquest Partners, L.P. on December 17, 2019. F2 · price: Represents the weighted-average sale price per share of a series of transactions, all of which were executed on May 12, 2020. The actual sale prices ranged from a low of $33.034 to a high of $35.665, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Castle Biosciences, Inc. or a Castle Biosciences, Inc. security holder full information regarding the number of shares sold at each price within the range. F3 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| May 12, 2020 Filed May 19, 2020 23:29 UTC Amendment | CASTLE BIOSCIENCES INC CSTL · Entity 359 | SaleCommon Stock | 100,000 | $35.47 | $3,547,370.00 |
DisclosureSEC source: 0001104659-20-063888 · tm2019858-1_4a.xml · nonDerivative · entry 3 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · See Remarks HealthQuest Venture Management, L.L.C. · CIK 0001783696 · See Remarks Kong Garheng · CIK 0001435183 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,433,577 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Healthquest Partners, L.P. on December 17, 2019. F5 · price: Represents the weighted-average sale price per share of a series of transactions, all of which were executed on May 12, 2020. The actual sale prices ranged from a low of $35.175 to a high of $35.665, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Castle Biosciences, Inc. or a Castle Biosciences, Inc. security holder full information regarding the number of shares sold at each price within the range. F3 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| May 12, 2020 Filed May 19, 2020 23:29 UTC Amendment | CASTLE BIOSCIENCES INC CSTL · Entity 359 | SaleCommon Stock | 100,000 | $34.25 | $3,425,370.00 |
DisclosureSEC source: 0001104659-20-063888 · tm2019858-1_4a.xml · nonDerivative · entry 2 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · See Remarks HealthQuest Venture Management, L.L.C. · CIK 0001783696 · See Remarks Kong Garheng · CIK 0001435183 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,533,577 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Healthquest Partners, L.P. on December 17, 2019. F4 · price: Represents the weighted-average sale price per share of a series of transactions, all of which were executed on May 12, 2020. The actual sale prices ranged from a low of $34.0861 to a high of $34.6399, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Castle Biosciences, Inc. or a Castle Biosciences, Inc. security holder full information regarding the number of shares sold at each price within the range. F3 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| May 12, 2020 Filed May 19, 2020 23:29 UTC Amendment | CASTLE BIOSCIENCES INC CSTL · Entity 359 | SaleCommon Stock | 50,000 | $33.04 | $1,651,850.00 |
DisclosureSEC source: 0001104659-20-063888 · tm2019858-1_4a.xml · nonDerivative · entry 1 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · See Remarks HealthQuest Venture Management, L.L.C. · CIK 0001783696 · See Remarks Kong Garheng · CIK 0001435183 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,633,577 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Healthquest Partners, L.P. on December 17, 2019. F2 · price: Represents the weighted-average sale price per share of a series of transactions, all of which were executed on May 12, 2020. The actual sale prices ranged from a low of $33.034 to a high of $33.04, inclusive. Each Reporting Person undertakes to provide upon request of the SEC Staff, Castle Biosciences, Inc. or a Castle Biosciences, Inc. security holder full information regarding the number of shares sold at each price within the range. F3 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| March 30, 2020 Filed Apr 1, 2020 21:33 UTC | Venus Concept Inc. VERO · Entity 55304 | GrantStock Options (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $3.64 | $0.00 |
DisclosureSEC source: 0001382963-20-000069 · edgar.xml · derivative · entry 1 Kong Garheng · CIK 0001435183 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2030-03-30 F1 · derivative.exercise_date: The options vest with respect to 1/16th of the underlying Common Stock on each quarterly anniversary of the date of grant, subject to continued service through each applicable vesting date. Read SEC document |
| March 18, 2020 Filed Mar 20, 2020 21:22 UTC | Venus Concept Inc. VERO · Entity 55304 | PurchaseWarrant (right to buy) · Derivative | 900,000 | Not disclosed Strike: $3.50 | Not disclosed |
DisclosureSEC source: 0001382963-20-000040 · edgar.xml · derivative · entry 2 Kong Garheng · CIK 0001435183 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 900,000 Underlying: Common Stock · 900,000 shares Expires not disclosed F3 · price: These securities were purchased from the Issuer at a purchase price of $2.50 per unit (consisting of one-tenth of one share of Series A Preferred Stock and 0.75 of a Warrant, with each whole Warrant exercisable for one share of Common Stock, at an exercise price of $3.50 per share). F5 · derivative.exercise_date: The Warrants have a five-year term and are exercisable beginning 181 days after their issue date. F5 · derivative.expiration_date: The Warrants have a five-year term and are exercisable beginning 181 days after their issue date. F4 · ownership.nature: Held by HealthQuest Partners II, L.P. ("HealthQuest"). HealthQuest Venture Management II, L.L.C. ("HQVM II"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM II, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM II disclaim beneficial ownership of all shares held by HealthQuest except to the extent of any pecuniary interests therein. Read SEC document |
| March 18, 2020 Filed Mar 20, 2020 21:22 UTC | Venus Concept Inc. VERO · Entity 55304 | PurchaseSeries A Preferred Stock · Derivative | 120,000 | $25.00 | $3,000,000.00 |
DisclosureSEC source: 0001382963-20-000040 · edgar.xml · derivative · entry 1 Kong Garheng · CIK 0001435183 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 120,000 Underlying: Common Stock · 1,200,000 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series A Preferred Stock converts into ten shares of Common Stock for no additional consideration. F3 · price: These securities were purchased from the Issuer at a purchase price of $2.50 per unit (consisting of one-tenth of one share of Series A Preferred Stock and 0.75 of a Warrant, with each whole Warrant exercisable for one share of Common Stock, at an exercise price of $3.50 per share). F2 · derivative.exercise_date: The Series A Preferred Stock is convertible into common stock at any time, upon approval of the stockholders, and has no expiration date. F2 · derivative.expiration_date: The Series A Preferred Stock is convertible into common stock at any time, upon approval of the stockholders, and has no expiration date. F4 · ownership.nature: Held by HealthQuest Partners II, L.P. ("HealthQuest"). HealthQuest Venture Management II, L.L.C. ("HQVM II"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM II, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM II disclaim beneficial ownership of all shares held by HealthQuest except to the extent of any pecuniary interests therein. Read SEC document |
| February 19, 2020 Filed Feb 21, 2020 22:22 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | SaleCommon Stock | 25,000 | $32.03 | $800,750.00 |
DisclosureSEC source: 0001104659-20-023968 · tm209687-1_4.xml · nonDerivative · entry 1 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,683,577 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Healthquest Partners, L.P. on December 17, 2019. F2 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| February 13, 2020 Filed Feb 18, 2020 22:22 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | SaleCommon Stock | 25,000 | $32.01 | $800,250.00 |
DisclosureSEC source: 0001104659-20-022494 · tm209325-1_4.xml · nonDerivative · entry 1 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,708,577 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Healthquest Partners, L.P. on December 17, 2019. F2 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 20:20 UTC | LABCORP HOLDINGS INC. LH · Entity 1277 | Exercise / conversionRestricted Stock Unit · Derivative | 1,227 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-005592 · form4.xml · derivative · entry 2 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 986 Underlying: Common Stock · 1,227 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of Laboratory Corporation of America Holdings Common Stock. F2 · derivative.exercise_date: The Restricted Stock Units vested fully on February 12, 2020. F2 · derivative.expiration_date: The Restricted Stock Units vested fully on February 12, 2020. F3 · balance_after: This number reflects the aggregate number of Restricted Stock Units held by the reporting person. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 20:20 UTC | LABCORP HOLDINGS INC. LH · Entity 1277 | Exercise / conversionCommon Stock | 1,227 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-20-005592 · form4.xml · nonDerivative · entry 1 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,452 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit represents the contingent right to receive one share of Laboratory Corporation of America Holdings Common Stock. Read SEC document |
| February 06, 2020 Filed Feb 10, 2020 22:58 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | SaleCommon Stock | 25,000 | $31.03 | $775,750.00 |
DisclosureSEC source: 0001104659-20-014010 · tm207324-1_4.xml · nonDerivative · entry 1 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,733,577 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Healthquest Partners, L.P. on December 17, 2019. F2 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| February 04, 2020 Filed Feb 7, 2020 20:38 UTC | LABCORP HOLDINGS INC. LH · Entity 1277 | GrantRestricted Stock Unit · Derivative | 986 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-004311 · form4.xml · derivative · entry 1 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,213 Underlying: Common Stock · 986 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of Laboratory Corporation of America Holdings Common Stock. F2 · derivative.exercise_date: The Restricted Stock Units vest fully on February 4, 2021. F2 · derivative.expiration_date: The Restricted Stock Units vest fully on February 4, 2021. F3 · balance_after: This number reflects the aggregate number of Restricted Stock Units held by the reporting person. Read SEC document |
| February 03, 2020 Filed Feb 4, 2020 20:10 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | SaleCommon Stock | 25,000 | $31.06 | $776,525.00 |
DisclosureSEC source: 0001104659-20-010543 · tm206618d1_4.xml · nonDerivative · entry 2 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,758,577 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Healthquest Partners, L.P. on December 17, 2019. F2 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 20:10 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | SaleCommon Stock | 25,000 | $30.02 | $750,387.50 |
DisclosureSEC source: 0001104659-20-010543 · tm206618d1_4.xml · nonDerivative · entry 1 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,783,577 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Healthquest Partners, L.P. on December 17, 2019. F2 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| January 28, 2020 Filed Jan 30, 2020 23:52 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | SaleCommon Stock | 25,000 | $30.02 | $750,492.50 |
DisclosureSEC source: 0001104659-20-008862 · tv537385_4.xml · nonDerivative · entry 1 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,808,577 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Sofinnova Healthquest Partners, L.P. on December 17, 2019. F2 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| November 21, 2019 Filed Nov 26, 2019 21:30 UTC | AVEDRO INC AVDR · Entity 153528 | Disposition to issuerRestricted Stock Units · Derivative | 3,005 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-058121 · doc4.xml · derivative · entry 3 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,005 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F5 · price: At the Effective Time, each outstanding restricted stock unit ("Issuer RSU") (excluding any Issuer RSU that vested prior to or as a result of the consummation of the Merger and which settled in shares of Issuer Common Stock that were converted into the right to receive shares of Parent Common Stock as a result of the Merger) was assumed by Parent and converted into the right to receive shares of Parent Common Stock (rounded down to the nearest whole share) using a conversion ratio designed to preserve the intrinsic value of such Issuer RSU. F5 · derivative.exercise_date: At the Effective Time, each outstanding restricted stock unit ("Issuer RSU") (excluding any Issuer RSU that vested prior to or as a result of the consummation of the Merger and which settled in shares of Issuer Common Stock that were converted into the right to receive shares of Parent Common Stock as a result of the Merger) was assumed by Parent and converted into the right to receive shares of Parent Common Stock (rounded down to the nearest whole share) using a conversion ratio designed to preserve the intrinsic value of such Issuer RSU. F5 · derivative.expiration_date: At the Effective Time, each outstanding restricted stock unit ("Issuer RSU") (excluding any Issuer RSU that vested prior to or as a result of the consummation of the Merger and which settled in shares of Issuer Common Stock that were converted into the right to receive shares of Parent Common Stock as a result of the Merger) was assumed by Parent and converted into the right to receive shares of Parent Common Stock (rounded down to the nearest whole share) using a conversion ratio designed to preserve the intrinsic value of such Issuer RSU. Read SEC document |
| November 21, 2019 Filed Nov 26, 2019 21:30 UTC | AVEDRO INC AVDR · Entity 153528 | Disposition to issuerStock Option (right to buy) · Derivative | 8,314 | Not disclosed Strike: $12.73 | Not disclosed |
DisclosureSEC source: 0001209191-19-058121 · doc4.xml · derivative · entry 2 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,314 shares Expires 2029-01-08 F3 · price: At the Effective Time, each outstanding and unexercised option to purchase Issuer Common Stock (whether vested or unvested) immediately prior to the Effective Time, was assumed by Parent and converted into an option to purchase shares of Parent Common Shares (rounded down to the nearest whole share) using a conversion ratio designed to preserve the intrinsic value of such option of Issuer. F3 · derivative.exercise_date: At the Effective Time, each outstanding and unexercised option to purchase Issuer Common Stock (whether vested or unvested) immediately prior to the Effective Time, was assumed by Parent and converted into an option to purchase shares of Parent Common Shares (rounded down to the nearest whole share) using a conversion ratio designed to preserve the intrinsic value of such option of Issuer. Read SEC document |
| November 21, 2019 Filed Nov 26, 2019 21:30 UTC | AVEDRO INC AVDR · Entity 153528 | Disposition to issuerCommon Stock | 1,437,096 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-058121 · doc4.xml · nonDerivative · entry 1 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated as of August 7, 2019, by and among Avedro, Inc. (the "Issuer"), Glaukos Corporation ("Parent") and Atlantic Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Merger Sub"), on November 21, 2019, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer continuing as the surviving corporation. Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each share of common stock of the Issuer ("Issuer Common Stock") that was issued and outstanding immediately prior to the Effective Time was automatically cancelled and converted into the right to receive 0.365 of a share of Parent's common stock ("Parent Common Stock"). The closing price of shares of the Parent Common Stock on November 21, 2019 was $63.07 per share. F2 · ownership.nature: The shares are directly held by HealthQuest Partners II, L.P. ("HealthQuest"). HealthQuest Venture Management II, L.L.C. ("HealthQuest Management") is the general partner of HealthQuest. HealthQuest Management may be deemed to have voting and dispositive power over the shares held by HealthQuest. The Reporting Person is the managing member of HealthQuest Management and disclaims beneficial interest over all of the shares held by HealthQuest except to the extent of his pecuniary interest therein. Read SEC document |
| November 07, 2019 Filed Nov 8, 2019 02:49 UTC | Venus Concept Inc. VERO · Entity 55304 | GrantWarrants (right to buy) · Derivative | 1,333,333 | Not disclosed Strike: $6.00 | Not disclosed |
DisclosureSEC source: 0001382963-19-000138 · edgar.xml · derivative · entry 5 Kong Garheng · CIK 0001435183 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 1,333,333 Underlying: Common Stock · 666,666.5 shares Expires 2024-11-07 F4 · shares: These securities were purchased from the Issuer at a purchase price of $3.75 per unit, consisting of one share of Common Stock and a warrant exercisable for 0.5 shares of Common Stock, with two warrants exercisable for one share of Common Stock at an exercise price of $6.00 per share. F4 · price: These securities were purchased from the Issuer at a purchase price of $3.75 per unit, consisting of one share of Common Stock and a warrant exercisable for 0.5 shares of Common Stock, with two warrants exercisable for one share of Common Stock at an exercise price of $6.00 per share. F4 · derivative.underlying_shares: These securities were purchased from the Issuer at a purchase price of $3.75 per unit, consisting of one share of Common Stock and a warrant exercisable for 0.5 shares of Common Stock, with two warrants exercisable for one share of Common Stock at an exercise price of $6.00 per share. F4 · balance_after: These securities were purchased from the Issuer at a purchase price of $3.75 per unit, consisting of one share of Common Stock and a warrant exercisable for 0.5 shares of Common Stock, with two warrants exercisable for one share of Common Stock at an exercise price of $6.00 per share. F2 · ownership.nature: Held by HealthQuest Partners II, L.P. ("HealthQuest"). HealthQuest Venture Management II, L.L.C. ("HQVM II"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM II, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM II disclaim beneficial ownership of all shares held by HealthQuest except to the extent of any pecuniary interests therein. Read SEC document |
| November 07, 2019 Filed Nov 8, 2019 02:49 UTC | Venus Concept Inc. VERO · Entity 55304 | GrantEmployee Stock Options (right to buy) · Derivative | 17,301 | Not disclosed Strike: $7.05 | Not disclosed |
DisclosureSEC source: 0001382963-19-000138 · edgar.xml · derivative · entry 4 Kong Garheng · CIK 0001435183 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 17,301 Underlying: Common Stock · 17,301 shares Expires 2027-11-08 F6 · price: Received, in connection with the Merger, in exchange for an employee stock option to acquire 30,000 Venus Concept Ltd. ordinary shares for $4.00 per share. F5 · derivative.exercise_date: As of the Transaction Date, 8,285 of these options to acquire Common Stock of the Issuer are fully vested and exercisable. Of the remaining balance, 361 options vest and become exercisable monthly from November 8, 2019 through November 8, 2021. F7 · ownership.nature: Held by HealthQuest Capital Management Company, LLC ("HQCM"). Mr. Kong is the Managing Partner and controlling member of HQCM, and may be deemed to have sole voting and dispositive power with respect to the options held of record by HQCM. Mr. Kong disclaims beneficial interest over all of the securities owned by HQCM except to the extent of his pecuniary interest therein. Read SEC document |
| November 07, 2019 Filed Nov 8, 2019 02:49 UTC | Venus Concept Inc. VERO · Entity 55304 | GrantCommon Stock | 1,333,333 | $3.75 | $4,999,998.75 |
DisclosureSEC source: 0001382963-19-000138 · edgar.xml · nonDerivative · entry 3 Kong Garheng · CIK 0001435183 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 3,995,621 F4 · price: These securities were purchased from the Issuer at a purchase price of $3.75 per unit, consisting of one share of Common Stock and a warrant exercisable for 0.5 shares of Common Stock, with two warrants exercisable for one share of Common Stock at an exercise price of $6.00 per share. F2 · ownership.nature: Held by HealthQuest Partners II, L.P. ("HealthQuest"). HealthQuest Venture Management II, L.L.C. ("HQVM II"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM II, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM II disclaim beneficial ownership of all shares held by HealthQuest except to the extent of any pecuniary interests therein. Read SEC document |
| November 07, 2019 Filed Nov 8, 2019 02:49 UTC | Venus Concept Inc. VERO · Entity 55304 | GrantCommon Stock | 1,094,814 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001382963-19-000138 · edgar.xml · nonDerivative · entry 2 Kong Garheng · CIK 0001435183 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 2,662,288 F3 · price: Received in connection with the Merger, upon the conversion of the outstanding principal and any accrued and unpaid interest of three 8% Convertible Promissory Notes issued by Venus Concept Ltd., dated as of June 25, 2019, August 14, 2019 and August 21, 2019, in the original principal amounts of $2,500,000, $985,714.24 and $4,014,285.76, respectively. F2 · ownership.nature: Held by HealthQuest Partners II, L.P. ("HealthQuest"). HealthQuest Venture Management II, L.L.C. ("HQVM II"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM II, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM II disclaim beneficial ownership of all shares held by HealthQuest except to the extent of any pecuniary interests therein. Read SEC document |
| November 07, 2019 Filed Nov 8, 2019 02:49 UTC | Venus Concept Inc. VERO · Entity 55304 | GrantCommon Stock | 1,567,474 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001382963-19-000138 · edgar.xml · nonDerivative · entry 1 Kong Garheng · CIK 0001435183 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 1,567,474 F1 · price: Received, in connection with the merger of a wholly-owned subsidiary of Restoration Robotics, Inc. with and into Venus Concept Ltd. (the "Merger"), in exchange for 2,272,548 shares, 98,807 shares and 346,620 shares of Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock of Venus Concept Ltd., respectively. F2 · ownership.nature: Held by HealthQuest Partners II, L.P. ("HealthQuest"). HealthQuest Venture Management II, L.L.C. ("HQVM II"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM II, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM II disclaim beneficial ownership of all shares held by HealthQuest except to the extent of any pecuniary interests therein. Read SEC document |
| July 29, 2019 Filed Aug 1, 2019 01:43 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | OtherWarrant to Purchase Series F Preferred Stock · Derivative | 14,107 | $0.00 Strike: $0.02 | $0.00 |
DisclosureSEC source: 0001144204-19-037023 · tv526440_4.xml · derivative · entry 11 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,572 shares Expires 2019-07-29 F7 · shares: Immediately prior to the closing of the IPO, the warrant became exercisable for 11,572 shares of common stock. F8 · derivative.exercise_date: Immediately exercisable. F3 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| July 29, 2019 Filed Aug 1, 2019 01:43 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | ConversionConvertible Promissory Note · Derivative | Not disclosed | Not disclosed Strike: $12.80 | $1,027,882.00 |
DisclosureSEC source: 0001144204-19-037023 · tv526440_4.xml · derivative · entry 10 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 83,453 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The principal amount of the Convertible Promissory Note held by HealthQuest was $1,027,882. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock that is equal to the Conversion Amount as of the closing date divided by 80% of the IPO price per share of $16.00 per share. F4 · reported_value: The principal amount of the Convertible Promissory Note held by HealthQuest was $1,027,882. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock that is equal to the Conversion Amount as of the closing date divided by 80% of the IPO price per share of $16.00 per share. F4 · price: The principal amount of the Convertible Promissory Note held by HealthQuest was $1,027,882. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock that is equal to the Conversion Amount as of the closing date divided by 80% of the IPO price per share of $16.00 per share. F4 · derivative.exercise_date: The principal amount of the Convertible Promissory Note held by HealthQuest was $1,027,882. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock that is equal to the Conversion Amount as of the closing date divided by 80% of the IPO price per share of $16.00 per share. F4 · derivative.expiration_date: The principal amount of the Convertible Promissory Note held by HealthQuest was $1,027,882. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock that is equal to the Conversion Amount as of the closing date divided by 80% of the IPO price per share of $16.00 per share. F3 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| July 29, 2019 Filed Aug 1, 2019 01:43 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | ConversionSeries F Preferred Stock · Derivative | 1,198,016 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-19-037023 · tv526440_4.xml · derivative · entry 9 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 982,785 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F2 · price: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F2 · derivative.exercise_date: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F2 · derivative.expiration_date: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F3 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| July 29, 2019 Filed Aug 1, 2019 01:43 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | ConversionSeries E-3 Preferred Stock · Derivative | 388,669 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-19-037023 · tv526440_4.xml · derivative · entry 8 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 318,842 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F2 · price: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F2 · derivative.exercise_date: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F2 · derivative.expiration_date: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F3 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| July 29, 2019 Filed Aug 1, 2019 01:43 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | ConversionSeries E-2 Preferred Stock · Derivative | 436,910 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-19-037023 · tv526440_4.xml · derivative · entry 7 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 358,416 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F2 · price: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F2 · derivative.exercise_date: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F2 · derivative.expiration_date: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F3 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| July 29, 2019 Filed Aug 1, 2019 01:43 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | ConversionSeries A Preferred Stock · Derivative | 19,524 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-19-037023 · tv526440_4.xml · derivative · entry 6 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,015 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F2 · price: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F2 · derivative.exercise_date: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F2 · derivative.expiration_date: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F3 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| July 29, 2019 Filed Aug 1, 2019 01:43 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | PurchaseCommon Stock | 62,500 | $16.00 | $1,000,000.00 |
DisclosureSEC source: 0001144204-19-037023 · tv526440_4.xml · nonDerivative · entry 5 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,833,577 F6 · shares: Represents a purchase from the underwriters in the Issuer's IPO. F3 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| July 29, 2019 Filed Aug 1, 2019 01:43 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | SaleCommon Stock | 9 | $16.00 | $144.00 |
DisclosureSEC source: 0001144204-19-037023 · tv526440_4.xml · nonDerivative · entry 4 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,771,077 F5 · kind: On July 29, 2019, HealthQuest exercised a warrant to purchase 11,572 shares of the Issuer's common stock for approximately $0.02 per share. HealthQuest paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 9 of the warrant shares to pay the exercise price and issuing to HealthQuest the remaining 11,563 shares. F3 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| July 29, 2019 Filed Aug 1, 2019 01:43 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | OtherCommon Stock | 11,572 | $0.02 | $231.44 |
DisclosureSEC source: 0001144204-19-037023 · tv526440_4.xml · nonDerivative · entry 3 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,771,086 F3 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| July 29, 2019 Filed Aug 1, 2019 01:43 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | ConversionCommon Stock | 83,453 | $12.80 | $1,068,198.40 |
DisclosureSEC source: 0001144204-19-037023 · tv526440_4.xml · nonDerivative · entry 2 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,759,514 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: The principal amount of the Convertible Promissory Note held by HealthQuest was $1,027,882. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock that is equal to the Conversion Amount as of the closing date divided by 80% of the IPO price per share of $16.00 per share. F3 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| July 29, 2019 Filed Aug 1, 2019 01:43 UTC | CASTLE BIOSCIENCES INC CSTL · Entity 359 | ConversionCommon Stock | 1,676,061 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-19-037023 · tv526440_4.xml · nonDerivative · entry 1 Sofinnova HealthQuest Partners, L.P. · CIK 0001579382 · 10% owner HealthQuest Venture Management, L.L.C. · CIK 0001783696 · 10% owner Kong Garheng · CIK 0001435183 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,676,061 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: The shares of Common Stock issued upon conversion of the Preferred Stock were calculated by first aggregating all series of Preferred Stock held by HealthQuest, in accordance with the terms of the Company's then-effective Certificate of Incorporation. F2 · price: Every 1.219 outstanding shares of Preferred Stock automatically converted into 1 share of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration, with cash paid for any fractional shares. The Preferred Stock had no expiration date. F3 · ownership.direct: The shares are directly held by Sofinnova HealthQuest Partners, L.P. ("HealthQuest"). HealthQuest Venture Management, L.L.C. ("HQVM"), the general partner of HealthQuest, and Garheng Kong, the managing member of HQVM, may be deemed to have sole voting and dispositive power with respect to the shares held of record by HealthQuest. Mr. Kong and HQVM disclaim beneficial ownership over all shares owned by HealthQuest except to the extent of any pecuniary interest therein. Read SEC document |
| June 19, 2019 Filed Jun 20, 2019 20:27 UTC | ALIMERA SCIENCES INC ALIM · Entity 11664 | GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $0.92 | $0.00 |
DisclosureSEC source: 0001267602-19-000095 · wf-form4_156106242633721.xml · derivative · entry 1 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2029-06-18 F1 · derivative.exercise_date: Vests in equal monthly installments over 12 months starting one month after the grant date (June 19, 2019), provided the Reporting Person provides continuous service to the Issuer through the applicable vesting date. Read SEC document |
| June 14, 2019 Filed Jun 18, 2019 23:49 UTC | AVEDRO INC AVDR · Entity 153528 | GrantRestricted Stock Units · Derivative | 3,005 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-037844 · doc4.xml · derivative · entry 1 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,005 Underlying: Common Stock · 3,005 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The RSUs vest on June 1, 2020, subject to Reporting Person's continuous service through such date. F2 · derivative.expiration_date: The RSUs vest on June 1, 2020, subject to Reporting Person's continuous service through such date. Read SEC document |
| May 15, 2019 Filed May 16, 2019 20:13 UTC | Strongbridge Biopharma plc SBBP · Entity 131608 | GrantOrdinary Shares | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-006152 · edgar.xml · nonDerivative · entry 1 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 F1 · shares: Represents a grant of restricted stock units, which vest in full on May 15, 2020, provided that the Reporting Person continues to serve as a member of the board of directors of the Issuer through that date. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. Read SEC document |
| February 19, 2019 Filed Feb 20, 2019 00:12 UTC | AVEDRO INC AVDR · Entity 153528 | GrantStock Option (right to buy) · Derivative | 8,314 | $0.00 Strike: $12.73 | $0.00 |
DisclosureSEC source: 0001209191-19-011333 · doc4.xml · derivative · entry 8 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,314 Underlying: Common Stock · 8,314 shares Expires 2029-01-08 F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (x) June 1, 2020 and (y) the first anniversary of the first annual meeting of the Issuer's stockholders following the Issuer's initial public offering, subject to the Reporting Person continuing to provide service through such date. Read SEC document |
| February 19, 2019 Filed Feb 20, 2019 00:12 UTC | AVEDRO INC AVDR · Entity 153528 | ConversionSeries CC Convertible Preferred Stock · Derivative | 535,369 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011333 · doc4.xml · derivative · entry 7 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 535,369 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: The shares are directly held by HealthQuest Partners II, L.P. ("HealthQuest"). HealthQuest Venture Management II, L.L.C. ("HealthQuest Management") is the general partner of HealthQuest. HealthQuest Management may be deemed to have voting and dispositive power over the shares held by HealthQuest. The Reporting Person is the managing member of HealthQuest Management and disclaims beneficial interest over all of the shares held by HealthQuest except to the extent of his pecuniary interest therein. Read SEC document |
| February 19, 2019 Filed Feb 20, 2019 00:12 UTC | AVEDRO INC AVDR · Entity 153528 | ConversionSeries BB Convertible Preferred Stock · Derivative | 561,673 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011333 · doc4.xml · derivative · entry 6 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 561,673 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: The shares are directly held by HealthQuest Partners II, L.P. ("HealthQuest"). HealthQuest Venture Management II, L.L.C. ("HealthQuest Management") is the general partner of HealthQuest. HealthQuest Management may be deemed to have voting and dispositive power over the shares held by HealthQuest. The Reporting Person is the managing member of HealthQuest Management and disclaims beneficial interest over all of the shares held by HealthQuest except to the extent of his pecuniary interest therein. Read SEC document |
| February 19, 2019 Filed Feb 20, 2019 00:12 UTC | AVEDRO INC AVDR · Entity 153528 | ConversionSeries AA Convertible Preferred Stock · Derivative | 87,663 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011333 · doc4.xml · derivative · entry 5 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 87,663 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: The shares are directly held by HealthQuest Partners II, L.P. ("HealthQuest"). HealthQuest Venture Management II, L.L.C. ("HealthQuest Management") is the general partner of HealthQuest. HealthQuest Management may be deemed to have voting and dispositive power over the shares held by HealthQuest. The Reporting Person is the managing member of HealthQuest Management and disclaims beneficial interest over all of the shares held by HealthQuest except to the extent of his pecuniary interest therein. Read SEC document |
| February 19, 2019 Filed Feb 20, 2019 00:12 UTC | AVEDRO INC AVDR · Entity 153528 | PurchaseCommon Stock | 142,857 | $14.00 | $1,999,998.00 |
DisclosureSEC source: 0001209191-19-011333 · doc4.xml · nonDerivative · entry 4 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,437,096 F2 · ownership.nature: The shares are directly held by HealthQuest Partners II, L.P. ("HealthQuest"). HealthQuest Venture Management II, L.L.C. ("HealthQuest Management") is the general partner of HealthQuest. HealthQuest Management may be deemed to have voting and dispositive power over the shares held by HealthQuest. The Reporting Person is the managing member of HealthQuest Management and disclaims beneficial interest over all of the shares held by HealthQuest except to the extent of his pecuniary interest therein. Read SEC document |
| February 19, 2019 Filed Feb 20, 2019 00:12 UTC | AVEDRO INC AVDR · Entity 153528 | ConversionCommon Stock | 535,369 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-011333 · doc4.xml · nonDerivative · entry 3 Kong Garheng · CIK 0001435183 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,294,239 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: The shares are directly held by HealthQuest Partners II, L.P. ("HealthQuest"). HealthQuest Venture Management II, L.L.C. ("HealthQuest Management") is the general partner of HealthQuest. HealthQuest Management may be deemed to have voting and dispositive power over the shares held by HealthQuest. The Reporting Person is the managing member of HealthQuest Management and disclaims beneficial interest over all of the shares held by HealthQuest except to the extent of his pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.